engagements;(6) Engagement performance (EP): Insufficient involvement of engagement partners and EQCRs was found with inadequate and improper audit manuals, such as audits of high fraud risk areas and group
asset management firms, and revises regulations governing advertisement of financial products to prevent improper distraction or solicitation that may cause investors to misunderstand the true objective
revises regulations governing advertisement of financial products to prevent improper distraction or solicitation that may cause investors to misunderstand the true objective https://www.sec.or.th/EN/Pages
the company to rectify its financial condition to comply with the net fund maintenance rules as well as solve the issue of its improper and inadequate management and personnel structures and the case
benefactors, and thus weakened the prevention of improper client activities. Under such circumstance, if a client committed any wrongdoing, the company could be deemed to have supported or participated in such
warned the three branch managers against improper duty performance. Also, {X1} has already paid for the compensation in full for each affected client. Owing to this case, the SEC has found that {X1}'s
recklessly. In this well-connected era, consumerism has rapidly intensified and spread widely through various perceptive channels especially the mass media. Ignorance is another essential cause of improper
) Being able to show that it has established effective policy and measures for prevention of conflicts of interest, improper access to inside information among work units and personnel (Chinese Wall
management system; (7) Being able to show that it has established effective policy and measures for prevention of conflicts of interest, improper access to inside information among work units and personnel