seeking unfair benefits from investor by taking advantage of her duty performance. In addition, during May 2018, {A} failed to execute the client’s order to buy shares of a company and did not inform the
proposing to review the regulations governing debt securities of all types and related notifications. In essence, the proposed amendments to the debt securities regulations concern the followings: (1
wide-ranging impacts to all industries as well as our businesses. Fortunately, Central Retail has multi-category, multi-format, and multi-market businesses as well as is flexible and fast to execute
such as push selling or unsuitable distribution of financial products are found as a common area of concern arises in many jurisdictions, which poses challenge to the regulators. In this view, members
preparation of the financial statements. CFOs and audit committees are expected to fully execute their responsibilities, which in turn will result in the quality financial information from its origins. In 2016
implementing anti-graft practices. Should they raise concern and seriously implement policy to fight against corruption, it will bring about social pressure to reinforce social performance, particularly for the
invest in crypto Corporate manages should consider adopting crypto/block-chain technology in their businesses Limitations •Only short-term returns [-20, 20] are analyzed •Small sample size •Concern on
would be the only approach to make sure that only the audit engagements, for which the firms could execute with a high quality standard of work, are accepted. Assessment on the adequacy of human resources
, audits of revenue recognition based on the percentage of completion method, and assessments of the appropriateness of management’s use of going concern assumption. Our root cause analysis has revealed that
investments; and (5) Lack serious concern on this matter because most of the people do not make any financial plan and are not aware of future problem. As the Thai capital market supervisory body, the SEC has