improved the monitoring process to be coherent with the TSQC 1 and the SEC’s observation. However, in 2017 we still identified the findings on the monitoring process in some audit firms as follows: 1. The
สินทรัพย์ ดิจิทัล ระบบซื้อขายสินทรัพย์ดจิิทัล ระบบสำหรับการซือ้ขาย ระบบงานที่ช่วยเสริมสร้างและรักษา กลไกการทำงานของระบบซือ้ขาย ให้มีความเป็นระเบียบเรียบร้อย (market surveillance) ระบบชำระราคาและส่งมอบ
of the monitoring and root cause analysis on such deficiencies, remediation plan preparation and the follow-up of the remediation plan. The SEC will continue to assist audit firms and follow up on
investigation and submit the case file to a public prosecutor. The case will be taken into consideration under the court. Under this measure, the offender might be imprisoned. Procedure for Administrative Action
Financial Statement Surveillance Workshop to be a platform for sharing of knowledge and experience from conducting reviews of audited financial statements. ACRA and other organizations, such as International
information recording system with respect to derivatives trading, especially pre-trade information and post-trade information in order to support monitoring and examination after derivatives trading (audit
common control with another entity. performs analytical functions that are necessary for the issuing or monitoring of a credit rating or participates in determining credit ratings, including an employee
actively promote good governance and strengthen market surveillance. As 2004 also marked the conclusion of this government’s first term, looking back, it has been a productive four-year period. Several goals
efficient and effective monitoring process. Along the same line, the inspection results of individual engagements showed promising improvement of audit quality in the capital market, as reflected in the
Participants. TERMS For the purposes of the IOSCO CRA Code:5 under common control with another entity. performs analytical functions that are necessary for the issuing or monitoring of a credit rating or