company by taking into account the appropriateness and acceptable risk level. The securities company should specify the details on the designation or approval for such action clearly in writing, and monitor
company by taking into account the appropriateness and acceptable risk level. The securities company should specify the details on the designation or approval for such action clearly in writing, and monitor
evidence during a planning phase and a substantive test phase, especially in the audit of revenue, risk assessment and response to the risk of fraud. In this regard, the SEC will support and closely monitor
Securities and Exchange Act B.E. 2535, with a mission to develop and supervise the Thai Capital Market to ensure efficiency, fairness, transparency, and integrity. In order to maintain fairness in the Capital
information concerning certain products in the capital market to its clients shall comply with this Chapter. Clause 23 An intermediary shall monitor and supervise its personnel, who are responsible for
information concerning certain products in the capital market to its clients shall comply with this Chapter. Clause 23 An intermediary shall monitor and supervise its personnel, who are responsible for
and the disclosure of information concerning certain products in the capital market to its clients shall comply with this Chapter. Clause 23 An intermediary shall monitor and supervise its personnel
bank and responsible for regulating and licensing banks and other financial institutions. The Financial Institutions Business Act 2008 gives it broad authority to oversee bank corporate governance and
Securities and Exchange Commission Independent Audit Inspection Activities Report THE ROAD LEADING TO GROWTH 2013 This report is available for download on the SEC website: www.sec.or.th Contact For more information, please contact us at: Securities and Exchange Commission,Thailand 333/3 Vibhavadi-Rangsit Road, Chomphon, Chatuchak, Bangkok 10900, Thailand Tel : +66 2 263 6082 or +66 2 263 6218 e-mail : oca@sec.or.th Root cause analysis Activities for enhancing audit quality Suggestions on how to...
Under the SEA, the SEC has the duty to promote, develop and supervise the Thai capital market to ensure reliability, transparency and fairness for all parties concerned. In fulfilling this mission, the