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...
Offeror : The Union Mosaic Industry Public Company Limited | Date of submission of the Statement of Intention : 11/05/2012
Offeror : The Union Mosaic Industry Public Company Limited | Date of submission of the Statement of Intention : 24/05/2012
Offeror : The Union Mosaic Industry Public Company Limited | Date of submission of the Statement of Intention : 11/06/2012
Offeror : DYNASTY CERAMIC PUBLIC COMPANY LIMITED | Date of submission of the Statement of Intention : 26/04/2021
Offeror : DYNASTY CERAMIC PUBLIC COMPANY LIMITED | Date of submission of the Statement of Intention : 21/05/2021
Offeror : DYNASTY CERAMIC PUBLIC COMPANY LIMITED | Date of submission of the Statement of Intention : 25/05/2021
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Audit Firm Name: Subject : Leadership Responsibility Prepared by Date LEADERSHIP RESPONSABILITIES FOR QUALITY WITHIN THE FIRM Particulars Reference / Guidance Notes Description 1 Who is the ultimate
Audit Firm Name: Subject : Monitoring Prepared by Date Particulars Reference /Guidance Notes Description A Monitoring the Firm’s Quality Control Policies and Procedures 1 Does the whole firm perform