period, as previously issued, included a qualified opinion, a disclaimer of opinion, or an adverse opinion and the matter which gave rise to the modification is unresolved ( 2.3.1 corresponding figures are
to be in the enterprise’s acceptable range (risk appetite); (4) establishment of IT risk indicators for risks identified under (1) and arrangement of monitoring and reports of such indicators for
........); ( 2.3.2 unable to obtain sufficient appropriate audit evidence on corresponding figures, but the effects on current period’s figures is not material (paragraph........). · 3. Adverse Opinion resulting from
prestigious? 6 How does firm deal with situation where pressures on fee by a client? 7 Have any audit clients been retained by reducing audit fees? 8 Have there been any instances of adverse publicity or any
range of damages in the worst case scenario; (5) dispute resolution channel between clients and the derivatives dealer relating to the derivatives transaction. 9The provisions under Paragraph 1 shall not
so that it is more flexible for securities companies to prepare their training courses which best suit the needs of their personnel and that a wider range of activities will be available for the
ยืดหยุ่นผู้ออกหลักทรัพย์สามารถเปิดเผยข้อมูลที่เกี่ยวกับจำนวนเงินที่ใช้ หรือระยะเวลาที่ใช้เงิน โดยอาจเปิดเผยข้อมูลในลักษณะเป็นช่วง (range) ที่เหมาะสมได้ ดังนี้ (1) กรณีที่ประสงค์จะนำเงินไปซื้อสินทรัพย์หรือ
requirements for information security and the continuity of information security management in adverse situations; (2) establish procedures, processes and controls to ensure the required level of continuity for
Notification concerning the practical implications for securities companies to ensure that there is no adverse impact on the operations of securities companies, to uphold the integrity and stability of the
prevention of damage caused by risks arising from business undertaking to assure that there will not be any adverse effect on business undertaking of the securities company . All types of risks which may occur