specified in the notification of the Office. SECTION 137. In accepting assets into custody, the custodian shall segregate the deposited assets from its own assets, and shall deal with the deposited assets in
Inappropriate client acceptance assessments which resulted in the audit firms accepting engagements with risks that went beyond an acceptable levels; Lack of documentation on the background search of potential
maintenance services for pneumatic tube carrier systems in the hospital, currently, accepting orders from 2 additional government customers amount a total of 9.36 million baht which the project was completed in
securities for return; (8) placing or accepting collateral by transferring the ownership of the securities used as collateral to the receiver of the collateral only in the case of securities borrowing or
evidence to the SEC Office. The SEC Office thus issues a letter accepting Form 61-1 into the process of granting approval. 1 day The SEC Office 2) Consideration Fact check: - Make an appointment for
: (1) throughout the period when the mutual fund management company does not sell or repurchase investment units, or ceases accepting purchase or redemption orders for investment units; (2) from the day
) accounting system and internal control system of audit clients prior to accepting an audit engagement, (5) correlation between compensation and audit quality, and (6) root causes analysis and remediation plan
and responsibilities of high-level management Chapter 2 Availability of competent personnel Chapter 3 Fund management operation system 3.1 Accepting of purchase or redemption orders of investment units
responsibilities of high-level management Chapter 2 Availability of competent personnel Chapter 3 Fund management operation system 3.1 Accepting of purchase or redemption orders of investment units 3.2 Investment
inadequate documentation of the risk assessment process, as well as on the process of identifying the potential responses to the identified risks. Accordingly, before accepting any new audit clients, the audit