statistical information Our focus for 2014 2 4 8 15 19 33 37 40 47 49 Summary of inspection results A. Firm level B. Engagement level A. Firm level B. Engagement level 1 Thai capital market is one of the
Assurance Review Panel (“QARP”) 5 02 Activities for enhancing audit quality 10 03 Summary of inspection results 15 A. Firm level 16 B. Engagement level 28 04 Root cause analysis 38 05 Our focus for 2015 41 06
and decorated in a unique carnival theme where it can move up 8 meters from ground level along with the fountain and lighting. It can transport up to 15-20 guests per round and situate in front of the
Asset Management Co., Ltd.), has committed an offense with dishonest intent and obtained unlawful gains for himself or another person by authorizing a mutual fund of Solaris Asset Management Co., Ltd. to
intensity of the procedures mentioned in Clause 9 (1) and (2) for each client in accordance with the client’s level of risk associated with money laundering (risk-sensitive basis). Clause 11 . Securities
Clause 9 (1) and (2) for each client in accordance with the client’s level of risk associated with money laundering (risk-sensitive basis). Clause 11. Securities companies shall not allow the use of
, and apply the scope and intensity of the procedures mentioned in Clause 9 (1) and (2) for each client in accordance with the client’s level of risk associated with money laundering (risk-sensitive basis
regulations governing auditors to international standards by focusing on the quality assurance of an audit firm’s procedures both firm level and engagement level. As a result, the quality of auditor supervision
maintaining net liquid capital as of the date on which the securities business license becomes effective at the level not less than the rate specified by the SEC; (4) in cases where the finance and securities
being commercial executive vice president of GSTEL, committed or permitted another to act so as to falsify the accounts of GSTEL by making false entries concerning the purchase of raw materials from