Bangkok, March 1, 2016 - The SEC has suspended {A}, a securities investment consultant at Bangkok Bank PCL., for failing to inform a client of material information, which consequently incurred
procedures pertaining to the preservation of the confidentiality and independence in case of staff’s employment with assurance client. No designated policies pertaining to the staff’s personal assurance work
intermediary shall provide services by taking into account the best interests of a client , protection of client ’s interests, and preventing the causes of damage to investors and appearance of Thai capital
> Financial Reporting and Audit Oversight > Auditor Supervision > Quality Assurance & Review Regulations SHARE : Detail Content Financial reporting and audit oversight 2. Auditor
the intermediary shall comply with. In this regard, the intermediary shall provide services by taking into account the best interests of a client , protection of client ’s interests, and preventing the
every firm passed the six key elements with highest average score in the area of client acceptance and continuance (A&C) where most firms already have in place engagement acceptance procedures that take
,” describe the source of such material (such as access through computer software databases containing professional and regulatory literature). b. If “no,” describe how the firm obtains reasonable assurance
through computer software databases containing professional and regulatory literature). b. If “no,” describe how the firm obtains reasonable assurance that it is aware of the applicable independence
intermediary shall comply with. In this regard, the intermediary shall provide services by taking into 2 account the best interests of a client, protection of client’s interests, and preventing the causes of
intermediary shall comply with. In this regard, the intermediary shall provide services by taking into 2 account the best interests of a client, protection of client’s interests, and preventing the causes of