Accounting Professions (FAP), we have agreed to formulate a collaborative effort to enhance financial reporting quality to be in line with international standards and to promote more active roles of financial
capable of adapting to technological developments and global economic changes. The SEC Thailand remains committed to playing an active role in driving such cooperation on an ongoing basis. The meeting was
aware of the necessity and the importance of compliance inspection including the understanding of the policy and the guideline; (2) Authorises the head of operational and business unit to monitor and
) Authorises the head of operational and business unit to monitor and control the staff under their supervision to comply with the policy and guideline; (3) Prescribe the guideline for course of actions where
กองทุนตามท่ีประกาศก าหนดได้ ส านักงานพิจารณาแล้วเห็นควรทบทวนหลักเกณฑ์ดังกล่าวให้มีความเหมาะสมมากขึ้น โดยค านึงถึงความเสี่ยงหลักของการประกอบธุรกิจ กล่าวคือความเสี่ยงด้านปฏิบัติการ (operational risk) ซึ่ง
purpose of further selling and distributing to our target consumers all over several key provinces in the People’s Republic of China under the active marketing policy of the trade partner. - Translation
establishing and managing Yes No the representative office abroad. 3.3 Having a ready working system comprising at least operational Yes No management, compliance and information management, and competent
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