, which is a securities company under the law on securities and exchange, with no responsibility to maintain its net liquid capital adequacy, such person shall have liquid assets not less than one hundred

institution, which is a securities company under the law on securities and exchange, with no responsibility to maintain its net liquid capital adequacy, such person shall have liquid assets not less than one

records. In addition, he informed http://market.sec.or.th/public/idisc/en/Enforce < < Previous First ... 15 16 17 18 Next

%20Institutional%20Investor%20Responsibilities_2013.pdf Custodians Custodians are responsible for the safekeeping and maintaining of records of the collective investment vehicle’s assets, be these in electronic or

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

express and did not express opinion on such financial statements indicating that the records of allowances for possible losses on collection of short-term loan to subsidiary and trade accounts receivables

.Earlier, the SEC ordered KC to have a special audit on the internal control system concerning the issuance of bills of exchanges, the related receipt and payment transactions, the accounting records

a special audit on the internal control system concerning the issuance of bills of exchanges, the related receipt and payment transactions, and the accounting records practice. The company was also

million baht of net profit in Q4/2009, it posted 59.77 million baht or 270.21 percent decrease. The information was significantly different from the company's previous records showing profit in every

Technology (1999) Plc. (PRO) to make incorrect and inaccurate accounting records from Q2/2006 to Q1/2009 concerning loans to other parties, investment in aluminum processing project, and the purchase of