Questionnaire No. Particulars Firm's Reference /Guidance Notes Description 1 Does the audit firm design and implement the risk assesment process that includes the identification of quality objectives
securities company is part of the financial conglomerate which has shareholder structure, internal audit and supervise by the official agency as SEC has prescribed, the Office shall have the authority to waive
deceases, resigns or SEC has annulled the approval, or securities company is part of the financial conglomerate which has shareholder structure, internal audit and supervise by the official agency as SEC has
procedures as specified in the Notification of the Capital Market Supervisory Board by failing to supervise transactions that are considered conflicts of interest by investing in two of IPO securities for
, conditions, and procedures as specified in the Notification of the Capital Market Supervisory Board to supervise transactions that are considered conflicts of interest by investing in unrated and unlisted bill
causing the coin can only trade on Bitkub’s exchange and experiencing a very unusual price adjustment. Since Bitkub’s compliance system failed to supervise the product department to monitor the properties
Mr. Tana Uawithya Mr. Tana Uawithya, the director responsible for the operation of Shun Thai Rubber Gloves Industry Public Company Limited (STHAI), failed to supervise STHAI to prepare and submit the
SEC Secretary-General Ruenvadee Suwanmongkol said: “The SEC has the duty to supervise and develop the Thai capital market. One of our key responsibilities is to help increase businesses’ access to
Mr. Dominic Der Kevorkian Mr. Dominic Der Kevorkian, as managing director responsible for the operation of K-TECH Construction PLC (KTECH), failed to supervise KTECH to submit the financial