company must arrange to have a monitoring process for the allocation to comply with the decision of the board of directors. For instance, an internal auditor may be assigned to monitor the allocation, etc
Monitoring on Financial Report of Business in Capital Market Related Web Links SHARE : For More Information ContactUs Audit Oversight Department Tel. +66-2263-6097 / +66-2263-6096 Financial Reporting
requires that the auditor of the entities in the capital market be approved by the SEC so that the SEC will be capable of regular monitoring the quality of audit work performed by such auditor, which
can better diversify the investment risks, and receive professional services in monitoring and managing the investments. Establishment of Mutual Funds Cross-boder Offering of Funds Offering for Sale
) prescribed by the International Auditing and Assurance Standards Board (IAASB). Supporting Accounting Profession to be in line with International Standards Auditor Supervision Monitoring on Financial Report
with international standards 2. Auditor supervision 3. Monitoring on financial report of entities in capital market The SEC requires preparation and disclosure of financial information in the
Acceptance and Continuance of Client Relationships and Specific Engagements Engagement Performance Resources Information and Communicatio n Monitoring and Remediation Proces Regulatory Summary of
and Audit Oversight > Monitoring on Financial Report of Business in Capital Market Regulations SHARE : Detail Content Financial reporting and audit oversight 3. Monitoring on Financial Report
: (1) Notify the unitholder registrar to acknowledge the limitations on unitholding and monitor the unitholder registrar to reject a transfer of investment units that will violate the rule. (2) Examine