orders; and (6) To require that securities companies establish a work system for post-trade monitoring and examining clients’ executed trading transactions through random inspections of potentially
- Office of Economic and Risk Analysis, Public Company Accounting Oversight Board (PCAOB)• Mr. Aubrey Moore ตำแหน่ง National Associate Director - Division of Registration and Inspections, Public Company
Securities Analyst (CISA) or any other equivalent examinations approved by the Office, such person shall have work experience for not less than two [2] years within five years prior to the application date. In
(CFA) or Certified Investment and Securities Analyst (CISA) or any other equivalent examinations approved by the Office, such person shall have work experience for not less than two [2] years within five
ongoing outbreak of COVID–19 has hindered operations, project delivery and inspections. As the result, many customers delay the delivery of project and equipment. Advance payment for products and services
have conducted the inspections on the quality control system in the last three years, specify such the department or agency, the period of inspection, scope of inspection, summary of the inspection
department of the audit firm, an independent agency, or a network firm have conducted the inspections on the quality control system in the last three years, specify such the department or agency, the period of
Securities Analyst (CISA) or any other equivalent examinations approved by the Office and having work experience in securities investment, risk management relating to securities investment or securities