(paragraph ........); ( 2.1.2 incorrect use of accounting policy (paragraph........); ( 2.1.3 inappropriate/insufficient disclosure of information (paragraph........). ( 2.2 Inability to obtain sufficient
Office, or he possesses a characteristic which causes the approval terminated, or he has been being proceeded regarding another matter in a similar manner which causes inability to perform duty as
proceeded regarding another matter in a similar manner which causes inability to perform duty as personnel in capital market business or as a director of the derivatives exchange or the derivatives clearing
(paragraph number........) ( 4.4 Inability to obtain sufficient appropriate audit evidence arising from ( 4.4.1 Circumstances beyond the control of the entity (paragraph number........) ( 4.4.2 Circumstances
. Rules and Periods for Report Submission of Securities Companies dated 18 May 1992 which have been in effect prior to the effective date of this Notification shall remain in full force to the extent that
part of a network under common monitoring policies and procedures: (a) Whether the firm receives the overall scope, extent and results of the monitoring process annually; and (b) Whether the firm is
engagement. To the extent appropriate and as required by applicable professional standards, these policies and procedures should cover planning, performing, supervising, reviewing, documenting, and
or person who may have conflicts of interest that may impede the exercise of independent judgment, and any relationship that causes the inability to freely give comments on the operation of the
company; (3) prepare the following manual or guidelines for its personnel: (a) organisational structure of company; (b) roles, duties and the extent of responsibilities in extent of each staff; (c) roles
director or general manager to the extent that the derivatives intermediary is a financial institution which has been regulated by other governmental agencies before having obtained an approval for