Prescription of additional rules Calculation and announcement of net asset values (NAV) Procedures for incorrect pricing Sale and repurchase of investment units Preparation of mutual fund reports Scheme
documents in full according to the procedures specified in Clause 13 of the Licensing Manual. Remarks: ** If the application or evidentiary documentation is incorrect or incomplete and cannot be fixed or
, she informed her client of the submission of trading orders to rectify trading orders of another person sent through incorrect type of account. Also, {A} admitted that she received trading orders from
incomplete or incorrect information to the investor and failing to give or disclose material information that may have affected the investor's decision making, {A} failed to perform duty with responsibility
. Prescription of additional rules 6. Calculation and announcement of net asset values (NAV) 7. Procedures for incorrect pricing 8. Sale and repurchase of investment units 9. Preparation of mutual fund reports
. Prescription of additional rules 6. Calculation and announcement of net asset values (NAV) 7. Procedures for incorrect pricing 8. Sale and repurchase of investment units 9. Preparation of mutual fund reports
Activity_Report_62En INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2019 INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2019 Contents Executive Summary 02 42 45 19 30 04 08 14 Quality Assurance Review Panel Activities for Enhancing Financial Reporting Quality Summary of Audit Inspection Results B. Engagement-Level A. Firm-Level 38 Root Cause Analysis Framework and Focuses in 2019 Essential Statistics Auditing Landscape in Thailand Executive Summary The capital market plays an important role in d...
identified before selecting the documents to test sales cut-off, resulting in the auditors vouching to the wrong documents. General observations: Before performing the tests of controls, the auditor must
engagement hours lead to poor audit quality, but it would also result in the incorrect human resource 21 Independent Audit Inspection Activities Report 1 January – 31 December 2014 planning and inadequate
reviewed by the SEC on a quarterly basis to ensure that investors will obtain accurate and complete financial information. In cases where the SEC finds that the financial statements contain incorrect