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
of the audit procedures Inappropriate test of the net realizable value (“NRV”) of inventories such as the use of outdated price lists and the incorrect comparison of inventory costs against its
unused, outdated machines Baht 23 million. 1,361 1,327 1,204 1,456 1,302 1,240 1,205 1,174 9 (15) (124) (143) (52) (63) (35) (60) (200.0) (180.0) (160.0) (140.0) (120.0) (100.0) (80.0) (60.0) (40.0) (20.0
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
. of persons 2012 2011 2010 2009 Securities business 1 - 1 - Failure to comply SEC Rule - - 1 - Unlicensed securities business - - - - Unfair securities trading activities 21 12 3 2 Market manipulation
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
on to the seller’s remaining land. This resulted in shortage of rooms. Moreover, the four other buildings were 19 years old, which had never been renovated. The utility systems were outdated and run