beneficial owners and controlling persons of the transactions when the accounts are opened or when the first transaction is processed in case where there is no account-opening (initial KYC/CDD) and on an on
Companies dated 29 June 2006. Clause 2 In the Notification: “ electronic data ” means data that are created, sent, received, stored or processed through electronic procedures; “ securities company reporting
. In this Notification, “ electronic data” means the information created, transmitted, received, stored or processed by an electronic means; “securities https://publish.sec.or.th/nrs/3890pe.doc
6. Audit risks related to developments in the audit firms and profession Tone at the Top / Culture • Potential causes behind lack of improvement in level of inspection findings: fee pressures
member jurisdictions, which emphasizes the independence from the accounting profession of regulatory body. The Principle was aimed at providing a guideline for IOSCO members to implement their supervisory
, useful to the investors and prepared in compliance with international standards. In so doing, the SEC's operations comprise three perspectives, as follows: 1. Supporting accounting profession to be in line
the Board of Deloitte Touche Tohmatsu Jaiyos Audit Co., Ltd. Member of the Accounting Profession Supervisory Board, Ministry of Commerce Member of Audit and Evaluation Committee, Ministry of Higher
ตลาดหลักทรัพย์ including derivatives fund managers being a financial institution regulated by other agencies; “ electronic data ” means data that are created, sent , received, stored or processed through
of foreign auditors 2. 9 International Relations Supporting Accounting Profession to be in line with International Standards Auditor Supervision Regulatory Summary of Approved Auditor in Capital