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
etc. [M] · Providing an oversee system the operation of officer under the policy strictly [M] · providing an inspection and assessment of the sufficiency of policy and internal control information
and internal control information technology system by independent unit once a year at least by an internal unit of the securities company or by an outsider inspector [M] o notifying to the Office
) 6.20 4.15 (80.52) Due to the water supply situation in Chonburi and Rayong being lower than average, the Company has put in place the following water shortage mitigation measures: 1. Request customers
shortage mitigation measures: 1. Request customers use water more efficiently, and jointly set a demand reduction of 10% during the drought 2. Control water withdrawal from Dokkrai and Nongplalai Reservoirs
, nevertheless, make an opt-in request to do the suitability test for evaluation of their portfolio investments and transactions. The revised regulations will be effective as from April 1, 2014 (for details of the
for institutional clients. The institutional clients may, nevertheless, request to do the test for evaluation of their portfolio investments and transactions. The proposed rules and consultation paper
Satochi’s failure to submit a request for approval of major shareholders to the SEC office within the period specified in the notification of Ministry of Finance, resulted from the instruction or the failure
Requirements | - |- Online Submission | - |- Standard Practices | - |- Risk Control | - |- Compliance / Internal control | - |- Conflict of interest | - |- Complaint Handling | - |- Information Technology