into account risks of client and technical competency and level of relevant experience of audit staff. Meanwhile, deficiency was found on engagement performance (EP) with lowest average score, resulted
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
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
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
offering). The independent financial advisor (IFA) considers that the information disclosure in this case is insufficient, and the company is exposed to the risk of absence of due diligence in the
’ decision making; (4) None of the intermediaries or selling agents under the SEC supervision have been licensed to undertake digital asset businesses; (5) These ICOs may lack trading liquidity and may not
to operate businesses regarding such products;(5) Those products above may lack of liquidity for trading with cash or other productsIn addition, the Monetary Authority of Singapore (MAS) has
) There might not be enough necessary information disclosed for investors.(3) The product above may lack of liquidity for trading with cash or other products Currently, there is no approved digital
) There might not be enough necessary information disclosed for investors.(3) The product above may lack of liquidity for trading with cash or other products Currently, there is no approved digital