journal vouchers. An auditor did not classify journal vouchers or establish the means for sample selection while most of the samples selected were normal transactions. Example 7 : An auditor documented that
Fundamental Framework Tier and the Plus Standard Tier. The Foundation Framework tier of the ASEAN Taxonomy is a single sector- agnostic decision tree to classify activities into three categories: green, amber
, which can be used as a guideline for customer selection, have been established to classify customers based on sector risk levels. Establish risk management mechanism in response to risk events which may
customer risk profile. Credit policy has been tailored for each customer segment. Industry pre- screening criteria, which can be used as a guideline for customer selection, have been established to classify
customer risk profile. Credit policy has been tailored for each customer segment. Industry pre-screening criteria, which can be used as a guideline for customer selection, have been established to classify
) to categorize the service user; (c) to assess suitability for providing services to the service user; (d) to consider the ability of the service user to comply with the agreement for service provision
following actions during the period of operation: (1) compiling and assessing the information of the service user for the following purposes: (a) to know the service user; (b) to categorize the service user
Annual Report 2010 ANN UAL REPORT 2010 SECURITIES AND EXCHANGE COMMISSION, THAILAND ASEAN ECONOMIC COM MUN ITY Vision S = Setting High Standard E = Ethical C = Committed Pro = Professional Mission Core value: SEC-Pro The SEC develops and supervises the Thai capital market to ensure efficiency, fairness, transparency and integrity. The SEC is to establish the Thai capital market as an important alternative for investors and fund raisers with an efficient mechanism for investor empowerment and, in...
categorize as a margin account or a cash account , as the case may be. The client’s asset account under Paragraph 1 shall contain at least the following details: (1) date of receipt or disposal of assets ; (2
records of each client’s assets under its custody in a separate account from any other asset account of the securities company and categorize as a margin account or a cash account, as the case may be. The