operational procedure clearly with regard to granting a consent to a designated person to act on behalf of the securities company or to approve any action that will create an obligation for the securities
/2009 7. Notification of Capital Market Supervisory Board TorThor/Nor/Khor. 26/2551 Rules, Conditions and Procedures for Being Executive of Securities Companies 05/11/2008 16/11/2008 8
dates when the offenders sign the letters of consent, agreeing to comply with the civil sanctions imposed by the CSC. Otherwise, the SEC will submit the cases to the public prosecutor for filing a lawsuit
serving as director or executive for a period of 12 months; The prohibition periods for the offenders serving as director or executive will commence on the dates when the offenders sign letters of consent
obtaining client consent in cases where the business operator is unable to maintain net capital, in case of a transfer ordered by virtue of other laws and a transfer when the business operator intends to
procedures for proof of guilt committed by a group of persons which is usually the case with market manipulation; 1.4 Supervision of exchange-based trading to maintain continuity and reliability of the
statements of STARK, for the years 2019-2021, constituted a serious failure to comply with auditing standards regarding risk assessment and audit planning, journal entry testing, analytical procedures
policy(2) Preparing consent forms(3) Selecting and implementing appropriate security safeguards such as access control(4) Producing and managing “Record of Processing Activities (ROP)” that will used to