pros and cons and the costs of compliance 4. Seek approval for the measure from SEC Board/CMSB/SEC Office 5. Conduct public consultation on the measure: focus group meetings/public hearings This
enhance audit quality of financial statements of entities under the SEC oversight to ensure confidence on financial reporting disclosed to the public. The SEC requires the auditor in the capital market to
) have measure to control and manage risks associated with business operation; (4) have effective measure on internal control with respect to business operation; (5) have operational system promptly for
, who are capable and have experiences beneficial to business operation; (3) have measure to control and manage risks associated with business operation; (4) have effective measure on internal control
auditor supervision as the auditor's role of independent professional is fundamental to investor confidence in publicly disclosed corporate financial information. The Securities and Exchange Act of 1992
confidence and prevent recurrence of the problematic issue. In response to the said incidents, the International Organization of Securities Commissions (IOSCO) issued “Principle of Auditor Oversight," to its
information to the investors, representing the financial position and operating performance of the entities in the capital market, and is one of the most crucial factors to enhance investor confidence in the
contain a corrective measure. / X X The votes of the excess units over one-third shall not be counted * / / / Pay dividend in the total amount X / / Correct the proportion within two months
Confidence". Website 5stepstoinvest.com (Thai Version) Facebook 5stepstoinvest (Thai Version) Regulatory Summary Qualifications 1. A juristic person with a license for operating securities or