violators of the SEA.{A}'s actions were considered as serious performance deficiency by willfully imparting false statement and concealing information which should have been stated in the documents filed with

derivatives business; and (2) S D Global, Seandar Inc. (or Seandar), Huang Young Lin, Tang Tia Julien, and Teh Cheng Huat for operating unlicensed securities business.The compliant resulted from several reports

into account risks of client and technical competency and level of relevant experience of audit staff. Meanwhile, deficiency was found on engagement performance (EP) with lowest average score, resulted

Bangkok, March 2, 2015 The SEC suspended {X1} Company and its financial advisor supervisor, {A}, for deficiency performance in case of a company filing an application, registration statement and

youngsters’ knowledge on savings and financial disciplines and cultivate a personal finance ability as a life skill, starting from young ages to grow a strong saving habit in adulthood.

(Asia) Ltd., Seandar Europe, Seandarfx) และ Mr. Matthew Christensen  กรณีประกอบธุรกิจสัญญาซื้อขายล่วงหน้าโดยไม่ได้รับอนุญาต  และ 2. บริษัทเอส ดี โกลบอล, Seandar Inc. (หรือ Seandar), Mr. Huang Young Lin

retirement. • Important Question – How are these RATEs justified? 3 Literature • Fan & Chang (1995) • Scholz, Seshadri & Khitatrakun (2006) • Bayraktar & Young (2007) 4 In this study, I propose … • A realistic

the termination of membership. Deficiency of the termination of membership for any reasons or PVD members’ failure to receive cheques have brought about soaring unclaimed money, which the AMCs are

questions cover personal data, financial status, financial knowledge and experience, investment objective as well as risk appetite and willingness to take risks. For instance, it may be the case that young

, automated interface controls, and/or general IT controls System Interfaces (Cont’d) 21 Example of ITGC risks and controls 22 Determine If a ITGC Deficiency Exists: Examples 23 Not a Control Deficiency • The