worked for Country Group), had used incomplete Customer Confirmation and Portfolio reports in substitution for order tickets. Their actions were deemed as failure to record the customers? securities
auditor and found audit deficiencies related to the issuance of B/E. The deficiencies resulted in {A}’s failure to detect the incomplete record of the B/E in the annual financial statements.The SEC has
appropriate trainings and experiences. Opportunity for career advancement The SEC’s past inspections suggested that some audit firms had difficulties implementing their succession plan due to their unbalanced
Thareerattanavibool, former director and Accounting and Finance director of AIE, jointly instructed AIE to make incomplete documents relating to products and raw materials involved in the sale of oil and the refining
. Anurag Thareratanavibool, former chief executive officer of AIE, jointly instructed AIE to make incomplete documents relating to products and raw materials involved in the sale of oil and the refining of
was notified by the competent officer to comply with such orders, Zipmex delivered only partial or incomplete information. In addition, Zipmex delayed the delivery of information requested by the
transactions in the wallet. In this regard, although he was notified by the competent officer to comply with such orders, he delivered only partial or incomplete information. In addition, he delayed the delivery
Documents of Eveidence 1 ● Unauthorized use of a trading account by investment consultant ● Damage caused by inappropriate advice or incomplete information given by investment consultant/unit seller. ● Full
some audit firms had difficulties implementing the succession plan due to their unbalanced human resource structure. This unbalanced structure 16 either from the shortage of senior staff or from the
high-technology products, an increase in price of the Company’s core raw material, copper foil, due to an unbalanced demand/supply in the market, as well as the appreciation of the THB in a short period