of the service provider, retrieve for viewing or examine relevant evidentiary documentation; (3) causes, conditions and procedures for terminating the contract or 3 Amended by the Notification of the
records of clients’ assets as prepared by the securities company. For the clients’ assets which are not kept by the securities company itself, the securities company shall put in place a system to retrieve
clients’ assets which are not kept by the securities company itself, the securities company shall put in place a system to retrieve updated information to verify the records of such assets reported by a
is expected to moderate to 3.8 percent on the back of slower exports amid several external challenges: uncertainties over US trade policies and retaliatory measures by major trading partners, the risk
กองทุนรวมผสมในประเทศ 1) Aggressive Allocation ลงทุนในหรือมีไวซึ้ งหลกัทรัพยแ์ละทรัพยสิ์นตลอดจนการหาดอกผลโดยวธีิอืน โดยลงทุนในหรือมีไวซึ้ งตราสารทุน 0-100% ของมูลค่าทรัพยสิ์นสุทธิ ของกองทุนรวม 2) Moderate
Securities and Exchange Commission Independent Audit Inspection Activities Report THE ROAD LEADING TO GROWTH 2013 This report is available for download on the SEC website: www.sec.or.th Contact For more information, please contact us at: Securities and Exchange Commission,Thailand 333/3 Vibhavadi-Rangsit Road, Chomphon, Chatuchak, Bangkok 10900, Thailand Tel : +66 2 263 6082 or +66 2 263 6218 e-mail : oca@sec.or.th Root cause analysis Activities for enhancing audit quality Suggestions on how to...
fraud risks by management that was prone to be a significant risk area. As a result, this engagement was concluded as having a moderate risk level, instead of that of a high risk, although management’s
- nesia due to certain debottlenecking projects and a technical glitch which have been overcome in end 4Q17. An impact from utilization of cash flow to prepay part of trade payables also had a moderate