PowerPoint Presentation SEC Classification : ใชภ้ายใน (Internal) 20 กนัยายน 2565 การเตรยีมการของผูม้อี านาจผกูพนัของกจิการ SEC Classification : ใชภ้ายใน (Internal) 2©Copyright การเตรยีมการของผูม้อี า
Bangkok, November 9, 2011 ? The SEC ordered Tongkah Harbour Plc. (THL) to arrange a special audit with regard to the company?s internal control, appropriateness of connected transactions and asset
Control | - |- Compliance / Internal control | - |- Information Technology |- Internal operation of Securities Companies | - |- Outsourcing Services | - |- Appoint service provider OR marketing
being ordered by the Office to rectify significant fault in its internal control system, monitoring and supervision system or the record keeping system relating to work operation, unless obtain a waiver
include a financial institution under other law and later obtain a license to undertake derivatives business; “Full-service Branch Office” means a derivatives broker’s branch office in Thailand that
. Pakorn Peetathawatchat, SET President revealed: “The SET did not stand by, but took every step to make sure that investors obtain accurate and adequate information in a timely manner, e.g., following up
supervision of other organization and later obtain license to undertake securities business; (b) Any juristic person established under foreign laws which is permitted by such laws to undertake securities
financial institution which is under the supervision of other organization and later obtain license to undertake securities business; (b) Any juristic person established under foreign laws which is permitted