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...
industries? 16 Do the firm personnel participate in any professional organization or development? If yes, describe 17 Does the firm personnel serve on professional committees or write professional publications
interests of the public? B5 Does the firm have any independent non-executive ("INE") in its organizational structure, such as having an INE on its board of directors? If yes, please describe the firm's
firm personnel participate in any professional organization or development? If yes, describe. 16 Do the firm personnel serve on professional committees or write professional publications? If yes
process? Please provide an organization chart of the risk assessment process including the names of key responsible persons and their key roles. 5 How does the audit firm consider circumstances that require
) supporting electronic non-face-to-face identity verification, and (4) allowing businesses to access anonymized data under possession of governmental agencies for the development of financial products and
third party, such as a professional services firm or a non-governmental organization. Skills Assessment Assess the resource requirements and change management program required to embed climate strategy
Offeror : (1) AIRA Capital Company Limited (2) Summit Corporation Company Limited | Date of submission of the Statement of Intention : 08/03/2011
Offeror : (1) AIRA Capital Company Limited (2) Summit Corporation Company Limited | Date of submission of the Statement of Intention : 22/03/2011
with the International Organization of Securities Commissions (IOSCO) standards and FSAP. Reexamining these regulations would help to further credibility of the Thai capital market and to build up