inspection of information technology operation, either by an internal unit of the securities company or by an outsider inspector, in order to inspect all of the potential risks on information technology. In
Customer Assets (Section 98(3)) Net Liquid Capital Rule (Section 97) Executives / Personnel Major Shareholders Engagement in Related Businesses Internal operation of Securities Companies Auditors Accounting
(3) {K}, who neglected inspection and failed to comply with the bank's internal control system, causing the suspicious issues in the dishonest acts to evade inspection. The SEC has therefore banned the
comprising of, at least, the following particulars: (1) organisational structure of the company; (2) availability of competent personnel; (3) fund management operation system; (4) internal control system
) organisational structure of the company; (2) availability of competent personnel; (3) fund management operation system; (4) internal control system. Clause 2. The organisational structure of the company shall be
least, the following particulars: (1) organisational structure of the company; (2) availability of competent personnel; (3) fund management operation system; (4) internal control system. Clause 2. The
board of directors to be members of “audit committee." Audit committee is responsible for reviewing financial statements, internal control system, and ensuring that the company has disclosed information
million Baht or 8.64%. Total water sales volume was 121.05 million Cu.M. (excluding internal usage for tap water production of 15.94 million Cu.M.), decreased by 12.25 million Cu.M., or 9.19% compared to
company's internal control over financial reporting resulting from IT. Examples of such risks include: • Reliance on systems or programs that are inaccurately processing data, processing inaccurate data, or
multiple regressions models show that firms that have their own internal audit function face lower numbers of audit adjustments . This result may indicate that the in-house internal auditor has better