testimony to competent officer - - 1 1 - - - - Failure to comply with the competent officer's order - - - - - - 1 2 Failure to uphold professional standards - - - - - - - - Grand Total 43 80 29 137 111 218 32
Securities and Exchange Commission No. Sor Thor. 13/2561 Re: Detailed Rules on Maintenance of Capital of Investment Advisors and Derivatives Advisors and Provisions in Case of Failure to Maintain Capital
expressed a qualified opinion on the statement of the financial position for the year 2015 because of failure to determine whether certain revised items were necessary and may have affected the comparison
Commission throughout the approval period. I fully acknowledge that failure to proceed in accordance with this certification may lead to the SEC Office’s refusal to grant approval to other auditors of the
disruptions by assessing on an emergency incident, which causes a disruption and business impacts in either short, medium or long term, such as damage on building or place of business or branches, a failure of
instruction from, the act of, or the failure to give instruction or to act which is a duty required to be performed by, the director, manager or any person responsible for the operation of such securities
fact indicating any failure or inappropriateness in operational control and compliance with good business practices. Clause 6 The applicant for a derivatives business operator registration who is a
clients: Increases transaction or changing costs (e.g. costs of processing new audit selection and costs arising from working with new audit firms) (Chu et al., 2018) and the risk of audit failure in the
prohibited characteristics of the similar case in the past; (d) the intention to violate or failure to comply with the relevant law, rules or related regulations; (e) other posterior behaviors such as giving