asset report will be more flexible in that the report must be sent within 5 working days of the following month to the clients or at least once a year to the clients who have been inactive for more than a
misconduct occurred.Following a report of the Stock Exchange of Thailand, the SEC further probed into the case and found that {A} activated an inactive securities trading account of a client in order to submit
Associations. The enhanced KYC/CDD process mentioned in the first paragraph shall include: extension of scope in gathering and verifying of information, information gathering in relation to sources of funds used
relation to sources of funds used for transactions, requirement to obtain approval from or report to senior management, face-to-face contact with the client or his ultimate beneficial owners or ultimate
, information gathering in relation to sources of funds used for transactions, requirement to obtain approval from or report to senior management, face-to-face contact with the client or his ultimate beneficial
of these items. Auditors failed to understand their clients’ businesses, and thus not realizing that the revenue recognition methods used by their clients were inappropriate. For instance, an audit
Bangkok, 22 January 2018 ? The SEC has granted Pace Development Corporation Plc. (PACE) a second postponement for the submission of the clarification regarding the assumptions used in the fair value
January 2018 – The SEC has granted Pace Development Corporation Plc. (PACE) a second postponement for the submission of the clarification regarding the assumptions used in the fair value measurement of its