of audit firms has been an ongoing challenge, as a result of high turnover rates, coupling with low interests in this profession. With this concern in mind, the SEC and the Association of Chartered

. These efforts are expected to contribute to Thailand’s economic growth and maintain the high-quality standard of the financial reporting of listed companies in Thailand. Additionally, the SEC reinforced a

audit firms allocated resources and various tools to support auditors in performing audit. Moreover, the SEC rendered additional support, e.g., training sessions to strengthen auditors’ capabilities and

asset management companies to authorize persons to mornitor and control mutual fund. The persons performing the duty must have the qualifications as follows(1)  Be independent from the asset management

revocation of her license as a life insurance broker and agent on account of performing duties dishonestly when she failed to forward premium money of 1 million baht she had received from a client to the

acceptance and continuance of client relationships from prior inspection cycles. However, some findings still emerged, particularly regarding the gathering of information in performing risk assessment, as

anti-money laundering authority as high risk business/ profession; (7) a client who is categorized as higher-risk categories by the anti-money laundering authorities or the Securities Industry

occupation or business is classified by anti-money laundering authority as high risk business/ profession; (7) a client who is categorized as higher-risk categories by the anti-money laundering authorities or

client whose occupation or business is classified by anti-money laundering authority as high risk business/ profession; (7) a client who is categorized as higher-risk categories by the anti-money

of exploring and gathering documents and evidence as well as more information from overseas authorities for valuation of overseas investment.  The SEC therefore allowed VTE to submit the audited