transactions; (5) “suspicious transaction” means suspicious transactions to be reported under anti-money laundering legislations; (6) “anti-money laundering legislations” means all legislations in relation to
relation to the customer’s account or transactions; (5) “suspicious transaction” means suspicious transactions to be reported under anti-money laundering legislations; (6) “anti-money laundering legislations
INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2020 SECURITIES AND EXCHANGE COMMISSION, THAILAND Contents Executive Summary 01 04 08 15 28 58 62 70 47 Quality Assurance Review Panel Activities for Enhancing Financial Reporting Quality Summary of Audit Inspection Results A. Firm-Level B. Engagement-Level Root Cause Analysis Framework and Focuses in 2021 Essential Statistics Auditing Landscape in Thailand Executive Summary Over the past year, the Thai capital market experienced tremendous volatili...
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...
9 In the cases it appears to the SEC Office a fact causing any of the following suspicious grounds, the SEC Office may not grant an application for an offer for sale of structure notes: (1) the
. In addition, the audit committee should keep abreast of news and information of the company, be observant and skeptical to raise suspicious issues that may cause a risk and seek clarifications from the
Account. In the event that any other persons know and are able to log into Company Account, the SEC Office shall not be liable for any damage incurred in all cases; 5. Upon occurrence of any suspicious
Office a fact causing any of the following suspicious grounds, the SEC Office may not approve the application for an offering of shares: (1) the applicant or the offering has the characteristics or the
incurred in all cases; 5. Upon occurrence of any suspicious ground that the Password becomes known to other persons who have no authority or relevant responsibilities, the Applicant shall change the Password
suspicious ground that the Password becomes known to other persons who have no authority or relevant responsibilities, the Applicant shall change the Password immediately; 6. The submission of the Application