cycle were found in the following areas: audit sampling, audits of revenue recognition under percentage of completion method, audits of inventory and cost of sales, and the process of forming an audit
identification of clients and the beneficial owners of derivatives traded by clients in accordance with the information obtained from members. Such identification may be recorded in the form of Identification Card
: The personal data that the SEC Office collects includes both direct and indirect data, for example, identification number/passport number, title, name, surname (Thai/English), date of birth, citizenship
., business combination, impairment of assets, revenue recognition using percentage of completion method and general IT controls (“GITC”) • Using the work of an auditor's expert, e.g., engineer and appraiser
): ...................................................................................................... Tax Identification No. (if any): ............................................................................................................... Nationality
following personal data: 1.1 Definitions and examples of data collected by the SEC Office Personal data: Data of a personal nature, for example, identification number/passport number, title, name, surname
. However, in the case where there is a complaint on the advise, trading instruction or negotiation and the case of the complaint has not yet been finished within such period, the securities company shall
the action take place. However, in the case where there is a complaint on the advise, trading instruction or negotiation and the case of the complaint has not yet been finished within such period, the
complaint has not yet been finished within such period, the securities company shall retain such record until all the procedures are completed. In the case where the advise, trading instruction or negotiation
): ......................................................... ………………………………................................................................................................... 2. Identification Number: ............................................................................................................ CPA License Number