Bangkok, September 25, 2014 - The SEC organized ?3rd SEC Working Papers Forum?, jointly with the Faculty of Business Administration and the Faculty of Management Sciences, Kasetsart University presented three research papers on ?Listed Company Assessment?. Dr. Vorapol Socatiyanurak, SEC Secretary-General said that the third SEC Working Papers Forum, organized under the MoU with four leading business schools aiming to provide a platform for capital market research presentation and implementation....
, it should assess related affect and record such alteration up to date, including communicate to the concerned person for acknowledgement. [M] · It should install software as necessary for operation and
concerned person realise the essential of security of the information technology thoroughly had known the duties and responsibilities and guideline on controlling the various risk which have a content
investment advice, was negligent in supervising work control and compliance at the branch, which consequently led to inappropriate investment as far as the client's demand and risk profile were concerned. The
internal control environment. · Whether the client is aggressively concerned with maintaining the firm’s fees as low as possible. · Indications of an inappropriate limitation in the scope of work
accounting standards and the internal control environment. - Whether the client is aggressively concerned with maintaining the firm’s fees as low as possible. - Indications of an inappropriate limitation in
demand the communication with concerned parties and gradually resolve the findings. As such, the SEC will continue to raise the issues recommending the firm to devise additional remediation plan as follows
assess the incremental risks associated with their staff providing personal services while other firms, which collected the necessary information, had no means to verify the reliability or the completeness
important that the auditors carefully assess the audit risks and plan their audits accordingly. This becomes particularly important as the effective date of the new auditor’s report is fast approaching, where
on terms of engagement for owners—how to navigate the dialogue on sustainability. Who When investors are concerned with sustainability issues, with whom should they engage? It is important to consider