exchange service under law of such jurisdiction and is under supervision of authority or agency having duty to supervise derivatives; (5) “foreign derivatives business operator” means juristic person
in writing and shall allocate sufficient personnel and resources for operating the work of branch office as well as arrange to have management and operational system to efficiently supervise and
market investment consultant of Finansia Syrus Securities PCL. The suspension was also imposed on {E}, a former executive of UOB Kay Hian for failure to supervise in order to prevent his subordinates from
the correctness, completeness and trustworthiness of the financial reports of the company. Opinions concerning the adequacy of the company’s internal control system. Opinions concerning the
international standards, enhancing trustworthiness with up-to-date supervisory and preventive measures, promoting the capital market to become the fundraising channel for all businesses and important investment
international standards, enhancing trustworthiness with up-to-date supervisory and preventive measures, promoting the capital market to become the fundraising channel for all businesses and important investment
financial reports of listed companies The quality and reliability of listed companies’ financial reports play a pivotal role in supporting transparency and trustworthiness of the Thai capital market. To that
clients’ management, especially in terms of their trustworthiness; Insufficient documentation of detailed responses to the engagement risk assessments before accepting new clients; and Issuance of
have the duty to supervise and advise the Board of Directors. Size of Transaction : The calculation of transaction size based on the total value of consideration paid is equal to 0.18% of the total
applicant shall be deemed engagement performance and responsibilities of the audit firm; 7. I will supervise engagement performance of the applicant to ensure that he or she comply with the professional