Reform Priorities in Asia: Taking Corporate Governance to a Higher Level Taking Corporate Governance to a Higher Level reform priorities in Asia 2011 REFORM PRIORITIES IN ASIA: TAKING CORPORATE
management of such investments, whether or not it is a central utility function and at any level, there shall be a procedure for requesting an approval from the intermediary’s board of directors in each case
instruments; (7) The determination of guideline for complaint acceptance and handling; In this regard, the high-level management should arrange for a procedure in notifying and acknowledging the related
PowerPoint Presentation Procedure for Administrative Action and Appeal Filing Taking legal action(s) Administrative Action Civil Sanction Criminal Action Considering whether to constitute law
and Exchange Commission No. SorThor/Nor. 34/2547 Operational Control and Security of the Information Technology of Securities Company with the same level of standard. The Office has issued a Guideline
: Administrative Procedure under the Derivatives Act B.E. 2546 and the Trust for Transactions in the Capital Market B.E. 2550 (As Amended) By virtue of the Section 9(1), Section 121, Section 122 and Section 124 of
Assurance Review Panel (“QARP”) 5 02 Activities for enhancing audit quality 10 03 Summary of inspection results 15 A. Firm level 16 B. Engagement level 28 04 Root cause analysis 38 05 Our focus for 2015 41 06
................04 Activities for Enhancing Audit Quality...................05 Summary of Audit Inspection Results A. Firm Level...................08 B. Engagement Level...........................28 Root Cause
regulations governing auditors to international standards by focusing on the quality assurance of an audit firm’s procedures both firm level and engagement level. As a result, the quality of auditor supervision