prohibited characteristics or prohibited behaviors as prescribed by the SEC. Audit Firm Qualifications having audit quality control system which is sufficient and reliable for supervising its
characteristics or prohibited behaviors as prescribed by the SEC. Audit Firm Qualifications having audit quality control system which is sufficient and reliable for supervising its auditor's work in compliance
Consent of Audit Firm) .pdf file | .doc file 3. Form 61-3 (Notification for Change of Audit Firm) .pdf file | .doc file 4. Background and Details of Applicant Requesting Approval .pdf file
supervising securities businesses; 3. The SEC Office implementing policies, inspecting licensed/approved corporations and individuals, and developing financial products. Meanwhile, the Audit Committee
latest three years, or, in case of a registered group of persons, profit and loss statements of the latest three years; (4 ) a profi l e and relevant details of the audit firm; (5 ) a certification and
audit quality control system of the audit firm. As such, the auditing must be carried out under the good quality control system both at firm level and engagement level. In response to the aforesaid, the
cases of corporate fraud; Supervising business operators to take care of investors with fair and reliability; Educating and warning investors to ensure they have sufficient knowledge for decision making
at both individual auditor level and firm level. In order to enhance quality and reliability of the financial disclosure system of the entities and auditors, the SEC has revised the rules on approval
การคัดเลือกผู้สอบบัญชีที่มีคุณภาพจากข้อมูล Firm inspection report แนวทางการพัฒนาภาคการเงินเพื่อความยั่งยืน ( Sustainable Finance Initiatives for Thailand) องค์ความรู้ตลาดทุน
with applicable law and standards, and expecting and supervising business partners to respect human rights, social and environmental responsibilities, and treat their employees, staff, and workers fairly