recommended to deal with the said insufficiency;   (4) Monitoring (MR): Some audit firms were found having insufficient monitoring and without action plans to monitor deficiency remediation. In this regard

the development of provident funds to address the inadequacy of retirement savings, especially as Thailand enters the state of aging society."The SEC gives utmost importance to building trust and

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

The SEC’s inspection on the operation of Huobi as a digital asset exchange operator during February 2021 - March 2021 detected deficiencies and insufficiency in Huobi’s management structure and

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

careful. However, several instances found during our inspections seemed to suggest otherwise, especially regarding the insufficiency of audit evidence to support its conclusions, inappropriate procedures

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

February 2021 - March 2021 detected deficiencies and insufficiency in Huobi’s management structure and work systems, causing the company to fail to operate its business in compliance with the governing

, 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

additional required steps in the audit process such as tests of opening balances, gaining understandings of client’s business and internal control system. Not only would the insufficiency of estimated