major areas, namely (1) improvement of business operation in such areas as data storage system, management system, custody of clients’ assets and sale promotion advertising, (2) reporting of duty
. For example, data storage system, management system and custody of client assets. This is to promote flexibility in business operation while ensuring that supervisory guidelines are appropriate and
information via the SET system by 17 April 2018. However, EARTH notified that during the process of the business rehabilitation under the bankruptcy law, the company needs to request the Central Bankruptcy
securities analysts to participatein fintech development/application processes;(4) Have control and inspection system for algorithm;(5) Have data management and governance;(6) Disclose scope
system. The exemption provides tax equalization, eases burden and attracts individual?s investment, which will facilitate investment in listed ASEAN securities through SET trading system and thus
.Earlier, the SEC ordered KC to have a special audit on the internal control system concerning the issuance of bills of exchanges, the related receipt and payment transactions, the accounting records
a special audit on the internal control system concerning the issuance of bills of exchanges, the related receipt and payment transactions, and the accounting records practice. The company was also
work for audit firms having quality assurance system in compliance with professional standards, the SEC regularly inspects the firm?s audit quality to uphold market fairness, ensure proper investor
are not the SET members will be allowed to send trading orders through the SET ?s trading system in cases where such system is linked with others, such as that of foreign exchanges. Also included in
revisions, the business operators will be required to have in place a sound internal control system, by taking into account the utmost interest of customers, for preventing the use of inside information and