’ meeting via electronic media, it is advisable to consider the use of reliable meeting control system in accordance with https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8059 SEC launches automated
’ meeting via electronic media, it is advisable to consider the use of reliable meeting control system in accordance with https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8059 SEC launches automated
INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2020 SECURITIES AND EXCHANGE COMMISSION, THAILAND Contents Executive Summary 01 04 08 15 28 58 62 70 47 Quality Assurance Review Panel Activities for Enhancing Financial Reporting Quality Summary of Audit Inspection Results A. Firm-Level B. Engagement-Level Root Cause Analysis Framework and Focuses in 2021 Essential Statistics Auditing Landscape in Thailand Executive Summary Over the past year, the Thai capital market experienced tremendous volatili...
technology along with liveness detection in order to confirm customer identity. KBank is in the process of reviewing KYC-related policies and operational procedures to be in alignment with the above-mentioned
proceeds was not in accordance with the objective of the capital increase of the IPO; and the transaction was not in compliance with the liquidity management policy. If the meeting resolves to not confirm
} did not inform nor have the customer sign to confirm unit purchase orders inconsistent with the customer's risk profile. Moreover, she misled the customer into believing that an estimate return rate was
to do so and she was not the investment consultant in charge of such client's account. Auracha later arranged for AEC back office to confirm the share transfer with a person who was believed not to be
office to confirm the share transfer with a person who was believed not to be the true owner of the trading account, and adding a new contact phone number to the client?s personal profile even though there
/intermediary questions to confirm understanding or clarify inconsistencies about investment advice or recommendations. • Seek independent financial advice when necessary. • Compare the pros and cons of buying
opened 1 large branch which is Phetkasem branch using automated storage and retrieval system (ASRS) for more efficient in warehouse management and the company opened 5 Dohome To Go branches which are Makro