or giving any advice to the client, he signed such selling order form in the capacity of an investment consultant. In addition, he neither examined the transaction nor requested for additional
that was assessed under the FSAP and earned at least “Broadly Implemented” assessment results in the part relating auditors? Yes No 4.5 Have you ever been inspected by the audit oversight authority? Yes
………………………………………………………………. (Please specify the inspected ISQC.) (4) Summary of inspection results……………………………………………………… (Please specify risks associated with the non-compliance of the policies, procedures, standards on auditing, the
Firm level………………………………………………………………. (Please specify the inspected ISQC.) (4) Summary of inspection results……………………………………………………… (Please specify risks associated with the non-compliance of the policies
processes in the capital market to work more effectively, decrease the cost in accessibility or the operation of each market participant in each sector also be transparent and able to be inspected, and
.? [The average scores range from 5 (the lowest) to 1 (the highest)]. Major issues found among the inspected audit firms included non-compliance with auditing standards and inefficient work monitoring
Inspection The issuer shall provide an indication of where the documents (or copies thereof) concerning the issuer, which are referred to in the registration statement may be inspected. Exhibits and documents
Seamico Securities Public Company Limited (“The company”) would like to report operating result that has been examined by our auditor for the first quarter ended March 31, 2018 as follows: The consolidated
the type specified in the license only after the SEC Office has examined and viewed that the licensee can demonstrate its possession of: (a) good https://publish.sec.or.th/nrs/7307pe.doc <
ratings from official assessments indicating full structural integrity and safety for occupancy. All examined structures demonstrate earthquake resistance as they were designed according to current seismic