been founded in the Project called ?Financial Literacy: Road to Thailand?s Prosperity?, On the promotion and development of research papers on capital market issues, the SEC in collaboration with
sectors, and showcased the strategy of SEC that realizes the significance of academic studies and papers towards the effectiveness in policy-making. Multiple honorable guest speakers from
Bangkok, November 20, 2015 ? The 10th SEC Working Papers Forum today has revealed the results of three research studies on the common theme, ?Investment: Expectations and Reality,? conducted by the
| - |- Short Sale Provisions (section 98(5)) | - |- Know Your Clients | - |- Books & Records Requirements | - |- Risk Control | - |- Online Submission | - |- Compliance / Internal Control | - |- Conflict of
& Records Requirements | - |- Risk Control | - |- Compliance / Internal Control | - |- Conflict of Interest | - |- Online Submission |- Protection of Customer Assets (Section 98(3)) |- Reporting of Securities
) | - |- Dealer of capital market product denominated in foreign currency | - |- Know Your Clients | - |- Books & Records Requirements | - |- Risk Control | - |- Compliance / Internal Control | - |- Conflict of
concerning the issuance of bills of exchanges, the related receipt and payment transactions, the accounting records practice, and the questionable transactions of land sales and purchases. The company was also
records. In addition, he informed http://market.sec.or.th/public/idisc/en/Enforce < < Previous First ... 15 16 17 18 Next
requirements to cover both generic user accounts and high-privileged user accounts, and requiring business operators to manage IT incidents by conducting root cause analysis, maintaining incident records, and