role so assigned; (5) have procedures to monitor and supervise business conduct and behaviour of staff in order to examine and prevent the conduct or behaviour which may cause: (a) negative image to the
to remain fit and proper for the role so assigned; (5) have procedures to monitor and supervise business conduct and behaviour of staff in order to examine and prevent the conduct or behaviour which
mutual funds and private funds which did not analyze and estimate the value of the IPO securities adequately and appropriately. SEC Act S.117 and 133 paragraph 2 Settlement Committee Meeting No. 3/2021
of exchange of a company for private funds which did not analyze the ability to pay debt and did not ask for the consent of the client. SEC Act S.133 paragraph 2 Settlement Committee Meeting No. 3
Internet trade clients, as defined in the table attached hereto. It should be required to monitor and analyze, based on the risk assessment of the organization, logs recorded from the use of critical
clients, as defined in the table attached hereto. It should be required to monitor and analyze, based on the risk assessment of the organization, logs recorded from the use of critical information systems
examining that have compliance under system development and examine prior to transfer for operating in real condition. [A] 2.4 Transfer for operating in real condition · Inspect the transfer of operation
have compliance under system development and examine prior to transfer for operating in real condition. [A] 2.4 Transfer for operating in real condition o Inspect the transfer of operation system correct
was not audited. Example 12 : When inspecting revenue from the domestic sales, the SEC found an auditor did not examine significant matters such as evidence of an authorised person’s signature, a