recommended to deal with the said insufficiency;   (4) Monitoring (MR): Some audit firms were found having insufficient monitoring and without action plans to monitor deficiency remediation. In this regard

within thirty days from the date of termination of membership. However, in practice, the payment could not directly be made to PVD member due to a lack of relevant member data; such as name and surname

with audit clients The SEC found that some audit firms procured goods and/or services from their audit clients but there was a lack of documentation on assessing whether the transaction was in the normal

capital market. Nonetheless, the SEC still identified certain deficiencies in the quality control system in this inspection cycle such as rotation of auditors, insufficiency of human resources, completeness

(a) unlawful act caused by intention, gross negligence or merely lack of due care; (b) benefits gained or will be gained by a wrongdoer or person related to the unlawful acts or any other person; (c

violators of the SEA.{A}'s actions were considered as serious performance deficiency by willfully imparting false statement and concealing information which should have been stated in the documents filed with

yet started saving money for their retirement. Furthermore, financial behavior survey indicated ?5 Lacks? as follows: (1) Lack discipline to track  spending that caused the household debt rose to 83% of

EARTH's requests for extension of the repayment period, which led to EARTH's lack of liquidity. Subsequently, on 2 June 2017, Mr. Phipat granted permission to a brokerage firm to sell EARTH

The SEC’s inspection on the operation of Huobi as a digital asset exchange operator during February 2021 - March 2021 detected deficiencies and insufficiency in Huobi’s management structure and

Bangkok, March 2, 2015 The SEC suspended {X1} Company and its financial advisor supervisor, {A}, for deficiency performance in case of a company filing an application, registration statement and