Earlier, {X1} had under recorded its liabilities for short-term bills of exchange (B/E) in the annual financial statements for the financial year 2015. The SEC then reviewed the work of {X1}’s auditor and found audit deficiencies related to the issuance of B/E. The deficiencies resulted in {A}’s failure to detect the incomplete record of the B/E in the annual financial statements.The SEC has therefore suspended the approval for {A} as a capital market auditor for six months, starting from 19 Jan...
Control | - |- Compliance / Internal control | - |- Information Technology |- Internal operation of Securities Companies | - |- Outsourcing Services | - |- Appoint service provider OR marketing
compliance of listed firms, and enforcement capacity vis-à-vis the OECD Principles. > The assessments are standardized and systematic, and include policy recommendations and a model country action plan. In
Requirements | - |- Online Submission | - |- Standard Practices | - |- Risk Control | - |- Compliance / Internal control | - |- Conflict of interest | - |- Complaint Handling | - |- Information Technology
valuation of investment in PT Sunhub Mining International (SMI), an associated company, and share of loss of investment in SMI; resulted in non-compliance with the Thai financial reporting standards.The SEC
/Pages/LawandRegulations/IndependentAuditOversight.aspx English (United States) AuditorAccountRegulatorySummary Qualifications (1) having audit quality control system which is in compliance with the
AMARIN: AMARIN CORPORATIONS PUBLIC COMPANY LIMITED AMATA: AMATA CORPORATION PUBLIC COMPANY LIMITED AOT: AIRPORTS OF THAILAND PUBLIC COMPANY LIMITED AQUA: AQUA CORPORATION PUBLIC COMPANY LIMITED ASIAN
establishing and managing Yes No the representative office abroad. 3.3 Having a ready working system comprising at least operational Yes No management, compliance and information management, and competent
establishing and managing Yes No the representative office abroad. 3.3 Having a ready working system comprising at least operational Yes No management, compliance and information management, and competent
| - |- Short Sale Provisions (section 98(5)) | - |- Know Your Clients | - |- Books & Records Requirements | - |- Risk Control | - |- Online Submission | - |- Compliance / Internal Control | - |- Conflict of