into account risks of client and technical competency and level of relevant experience of audit staff. Meanwhile, deficiency was found on engagement performance (EP) with lowest average score, resulted
violators of the SEA.{A}'s actions were considered as serious performance deficiency by willfully imparting false statement and concealing information which should have been stated in the documents filed with
within thirty days from the date of termination of membership. However, in practice, the payment could not directly be made to PVD member due to a lack of relevant member data; such as name and surname
Bangkok, March 2, 2015 The SEC suspended {X1} Company and its financial advisor supervisor, {A}, for deficiency performance in case of a company filing an application, registration statement and
management company shall make payment out of the management company in the amount equivalent to the difference representing the deficiency, or reduce the number of such remaining investment units and make
amount to be reduced, the management company shall make payment out of the management company in the amount equivalent to the difference representing the deficiency, or reduce the number of such remaining
damage, [ii] other circumstances indicating that the applicant is facing financial distress, or [iii] reasonable grounds to believe that the applicant has any deficiency or inappropriateness in operational
of clients? assets: deficiency of the verification process created risk of damaging client assets. It was found that during August 2014 to March 2015 many clients asked the company to add another
consequently affect confidence in securities business and the capital market at large; (2) Custody of clients? assets: deficiency of the verification process created risk of damaging client assets. It was