mutual fund without authorization from the client. She did not clarify the details of the new fund and failed to assess the client's risk tolerance before giving investment advice, causing inappropriate

clearing house shall regularly assess the adequacy of the value of the financial resources for covering credit risk and liquidity risk, by at least conducting the following tests: (1) a daily stress test

. Although the analysts have in place rigorous analytical systems, it is not possible for them to verify accuracy of the information due to their inability to access the proof of accuracy of the accounts

Case of Possible Impact on the Holding of Juristic Person’s Meeting B.E. 2563 (2020), dated 4 March 2020, 

approved by high-level management. In this case, such system shall; (a) generate good control environment; (b) assess, administer and manage any risks which arise or may arisen from conducting business to be

) having internal control system which is approved by high-level management. In this case, such system shall; (a) generate good control environment; (b) assess, administer and manage any risks which arise or

the purpose and mission of the company; (2) having internal control system which is approved by high-level management. In this case, such system shall; (a) generate good control environment; (b) assess

goodwill and for those investments in subsidiaries, (2) to assess the impairment loss for other assets, apart from goodwill in the consolidated financial statements, such as property, plant and equipment

for new employees; employees annually sign for acknowledgment of the rules and penalties; the code of conduct is publicized for employees and outsiders. 1.3 There are procedures to monitor and assess

Thailand (SET) to discuss possible solutions to the AGM holding of listed companies amid the spread of COVID-19, SEC has disseminated the circular and frequently asked questions to inform all listed