} Company did not put in place the operational system in accordance with professional standards. The SEC therefore imposed one year suspension on the approval granted to {X1} Company as the financial advisor
required. Moreover, certain criteria will be applicable to the business operator such as (i) outsourcing policy and arrangement must be made in writing; (ii) contingency plan must be in place for the case
, audit committee should place greater emphasis on disclosure of non-financial information to which institutional investors tend to pay more attention in making investment decision. Investors also tend to
derivatives broker to ensure that policy, operational procedures, and personnel of those business operators related to money-laundering and terrorist financing are put in place. In 2010, the SEC and the Anti
on standards of conduct. The FOCUS and IFEC manipulations took place in 2008. The SEC had already filed a criminal complaint against the wrongdoers and aiders while the Settlement Committee had
Microsoft Word - MD&A_Q1_2018_ENG 283/99 Home Place Office Building 20th Fl., Soi Sukhmvit 55, Sukhumvit Rd., Klongton Nua, Wattana, Bangkok 10110 1 NPP.032/2018 11 May 2018 Subject Management
prevent leakage of information among work units and personnel, risk management, operational management, and internal audit and internal control are put in place, so as to efficiently accommodate the
prevent conflicts of interests, a system to prevent leakage of information among work units and personnel, risk management, operational management, and internal audit and internal control are put in place
ไปนี้ต่อสำนักงาน ก.ล.ต. ตามแบบและวิธีการที่สำนักงาน ก.ล.ต. จัดไว้ในระบบงานอิเล็กทรอนิกส์ที่ปรากฏในเว็บไซต์ (web site) ของสำนักงาน ก.ล.ต. (1) รายงานการแต่งตั้งผู้จัดการลงทุน ภายในสิบสี่วันนับแต่วันที่