Bangkok, 13 September 2016 - The SEC has imposed a two-year suspension of approval on {A}, Executive Chairman of {X1} Company Limited, for failing to supervise the Know Your Client/Client Due Diligence (KYC/CDD) as well as client activity oversight systems. Additionally, the SEC is in the process of submitting the? case for consideration of the Criminal Fining Committee.During a routine inspection of {X1} Company Limited, the SEC found deficiencies in the company's KYC/CDD system. Also its clien...
Company Profile - INFORMATION AND COMMUNICATION NETWORKS PUBLIC COMPANY LIMITED สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ Printed on 21 September 2023 20:20 Company Profile INFORMATION
Offeror : TIME dotCom International Sdn Bhd | Date of submission of the Statement of Intention : 27/09/2017
Offeror : TIME dotCom International Sdn Bhd | Date of submission of the Statement of Intention : 06/10/2017
Offeror : TIME dotCom International Sdn Bhd | Date of submission of the Statement of Intention : 16/10/2017
Offeror : TIME dotCom International Sdn Bhd | Date of submission of the Statement of Intention : 25/10/2017
the firm: Firm's Reference /Guidance Notes Description 1 How does the firm establish the internal communication process to enable personnel and engagement teams to understand and carry out the SOQM
briefly. B19 Are there any actions taken by the firm's leaders (partners) to promote quality in SOQM? Please provide any relevant pieces of evidence of these actions. (e.g., communication within the firm
.................................................................................................07 Summary of Audit Inspection Results A. Firm-Level...........................................................................................................10 B. Engagement-Level
responses? Please describe the communication process and provide key responsible persons in the communication process B13 How does the firm follow up the latest remediation plan? Please describe the follow-up