analyzing information concerning securities trading payment of clients in one or many of the following ways: (1) being a contact point for data processing of securities trading; (2) sending and receiving
opinion. After analyzing the root cause of these deficiencies, the SEC believes that they were caused by inadequate and/or inappropriate risk assessments during the audit planning stage. Therefore, it is
subsidiaries. Since the export of tapioca decreases resulting in decrease revenue of such product inspections. The Company has approved for sale in the business of Inspecting and Fumigating of Agricultural
/executive, I would like to request for inspecting my qualification whether I have any characteristics indicating untrustworthiness as specified in the Notification of the Securities and Exchange Commission No
held this workshop, where knowledge and experiences would be shared for the purpose of active and swift operation, such knowledge include, collecting and inspecting evidence, procedures regarding
Handbookforapprovalofforeignauditors , b) inspecting audit works performed by the applicant to ensure the compliance with the ISAs, and c) inspecting the audit firm's quality control system to ensure compliance
supervising securities businesses; 3. The SEC Office implementing policies, inspecting licensed/approved corporations and individuals, and developing financial products. Meanwhile, the Audit Committee
retrieval for review or inspection by the SEC Office without delay; (4) it shall be accommodated to the SEC Office for inspecting the operation of the service provider upon request. Chapter 3 Compulsory