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

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

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

the termination of membership. Deficiency of the termination of membership for any reasons or PVD members’ failure to receive cheques have brought about soaring unclaimed money, which the AMCs are

, automated interface controls, and/or general IT controls System Interfaces (Cont’d) 21 Example of ITGC risks and controls 22 Determine If a ITGC Deficiency Exists: Examples 23 Not a Control Deficiency • The

company has decided to invest in new partnership company together with SUT Global due to SUT is a contractor specialist together with an exceptional and unique technology in construction service. In

transaction, which is the significant transaction that has to be disclosed to the SET. 7. Lease Pricing Determination: This transaction is exceptional which can not be shown that it is wihtin normal commercial

.pdf Annual Report 2007 general satisfactory score of 70 out of 100 and received exceptional results in the supervision of securities companies and asset management companies. We made a full score on

ต้องจัดให้มีระบบงานและแผนรองรับการดำเนินธุรกิจอย่างต่อเนื่อง (Business continuity plan) รองรับไว้ด้วย (Exceptional Case Handling)    เห็นด้วย       ไม่เห็นด้วย      ข้อเสนอแนะ/ข้อสังเกตเพิ่มเติม   4. ข้อ

management company shall make payment out of the management company in the amount equivalent to the difference representing the deficiency, or reduce the number of such remaining investment units and make