fifteen days from the date on which the Office receives such statement; (3) the statement of claim is incomplete or unclear, the claimant shall make correction or addition within thirty days from the date

residual value from the investment mode (underinvestment). Initial sample 5,610 obs. (100%) Less: incomplete data 1,352 obs. (24.1%) unusual data 56 obs. (1.0%) The final sample 4,202 obs. (74.9%) Add a

333/3 Viphavadi Rangsit Road, Chomphon, Chatuchak, Bangkok 10900, Thailand Tel: +66 1207 or +66 2695 9999 Fax: +66 2695 9660 e-mail: info@sec.or.th BU I L D ING BR IDGES INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2014 INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2014 BUILDING BRIDGES Securities and Exchange Commission, Thailand Securities and Exchange Commission, Thailand Contact Information  This report is available for download on the SEC website: www.sec.or.th  For more information, p...

disclosure of information that was incomplete, insufficient for making an investment decision, or that misled investors in a manner of concealing or disguise or making up non-existing facts in material

to suspect that the material information disclosed to the general public is incomplete or inadequate to support the investment decision making, or misleading; (6) the applicant does not default on a

) there are no grounds to suspect that the material information disclosed to the general public is incomplete or inadequate to support the investment decision making, or misleading; (8) the foreign entity

opinion; “collateral” means a collateral for compensation of damage to a customer arising from incorrect or incomplete performance of duties of the investment advisory company, i.e. : (a) insurance policy

-audit fee, demonstrate information of other non-audit fee paid in previous accounting year as well as other non-audit fee that will be paid in the future which arise from incomplete service given in the

Securities and Exchange Commission 10,13-16 The GPF Witthayu Building 93/1 Wireless Road, Lumpini, Pathumwan, Bangkok 10330. Tel: 0-2695-9999, 0-2263-6499 Fax: 0-2256-7711 www.sec.or.th. Securities and Exchange Commission Independent Audit Inspection Activities Report Independent Audit Inspection Activities Report for the 1st Cycle 1 October 2010 - 31 December 2012 Introduction Quality Assurance Review Panel (“QARP”) First step with confidence Activities for audit quality enhancement Summary of...

personnel with incomplete training by requiring the personnel in every level to attend every session as the firms deem necessary, especially the compulsory course. In the event that some of the personnel are