. On the other hand, concerns of the auditor reflect doubts in the company’s questionable financial statements. An Auditor’s independence is also important to ensure transparency and reliability of
the SEC Office within seven days from the date on which such questionable conduct is found. Clause 16 A securities company shall keep records of giving of advice, accepting of trading orders, and
from the date on which such questionable conduct is found. Clause 16 A securities company shall keep records of giving of advice, accepting of trading orders, and negotiation on securities investment
entities, obligors, originators, underwriters, and arrangers, on one side, and users of credit ratings on the other. Rating analyses of low quality or produced through a process of questionable integrity are
Alpha, Beta, and Now…Gamma David Blanchett, CFA, CFP® Head of Retirement Research Morningstar Investment Management Paul Kaplan, Ph.D., CFA Director of Research Morningstar Canada August 28, 2013 Morningstar Investment Management Page 2 of 27©2013 Morningstar. All rights reserved. This document includes proprietary material of Morningstar. Reproduction, transcription or other use, by any means, in whole or in part, without the prior written consent of Morningstar is prohibited. The Morningstar I...
performance evaluation process while in other firms, the results of performance evaluation were still not reflected in staff compensation. These findings usually result in obscure performance evaluation process
quality or produced through a process of questionable integrity are either of little use to or misleading for market participants. Stale credit ratings that fail to reflect changes to the financial
questionable whether the auditors had sufficiently obtained an understanding of the client’s operations and IT systems and appropriately tested the relevant controls in their process of identifying and assessing
Annual Report 2007 Securities and Exchange Commission, Thailand ANNUAL REPORT 2007 Corporate social responsibility is the continuing commitment by business to behave ethically and contribute to economic development while improving the quality of life of the workforce and their families as well as of the local community and society at large. (WBCSD Stakeholder Dialogue on CSR, The Netherlands, Sept 6-8, 1998) C o n t e n t s Corporate Review Capital Market Review Action Plan and Events Achievemen...