collaboration of audit firm leaders, auditors and personnel. Nevertheless, some audit firms have yet to remove deficiencies in engagement performance and monitoring while they are revising their audit manual and

Activity report 2017En CAPITAL MARKET FOR ALL INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2017 INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2017 Executive Summary Quality Assurance Review Panel Activities for Enhancing Financial Reporting Quality Framework and Focuses in 2018 Root Cause Analysis Summary of Audit Inspection Results A. Firm Level B. Engagement Level Essential Statistics 49 4412 46 0402 07 Contents Executive Summary The capital market is a fundamental component in driving Thai...

regulatory sides toward impending changes. It is going to be another challenging year. Strong cooperation of all parties, however, will take us through obstacles and toward our mutual goals

such position, etc. Clause 6 Upon termination of approval for appointment of director or manager of a securities company, the securities company shall remove such person from the position or the duty

gain, the result will be loss at 17.55 million baht. However, we also have extra expense for acquire FKR at 11.9 million baht. After remove extra profit and extra expense, the result of actual operation

facts, the SEC Office shall remove such persons from the database of directors and executives of securities issuing companies: (1) death; (2) ceasing to be director or executive of the company; (3) the

operator shall remove such person from the position or the duty without delay. Clause 6 When a derivatives business operator has obtained, or is deemed to have obtained, an approval for appointment of

, following the approval. If the approved person fails to attend the training course within the specified period, the approval shall be deemed terminated and the Office shall remove the name of such person from

remove the name of such person from the register of person qualified to be fund manager. Clause 7. In order for a person to be approved to be listed in the register of person qualified to be fund manager

approval shall be deemed terminated and the Office shall remove such person’s name from the register of person qualified to be fund manager. Clause 7. Any person to be approved to be listed in the register