deadline for KC special audit report 06/01/2017 K.C. PROPERTY PUBLIC COMPANY LIMITED SEC orders KC to amend financial statements and arrange a special audit 29/04/2016 AI ENERGY PUBLIC COMPANY LIMITED SEC
1 Operation Control Clause 4. Securities company shall have an effective internal control system, risk management system, and a system protecting conflict of interest and shall prescribe rule and
4. Securities company shall have an effective internal control system, risk management system, and a system protecting conflict of interest and shall prescribe rule and procedure of such systems in
or need of such person; “Office” means The Office of the Securities and Exchange Commission. Chapter 1 Operation Control Clause 4. Securities company shall have an effective internal control system
in the operation by accessing the organization’s information or internal information system, and arrange for such personnel to perform their functions in accordance with the established policy and
include, internal control system, information security system to prevent access from unauthorized person, and effective Chinese Wall between difference departments and staffs as well as having measures for
capability and readiness to provide service and comply with rules prescribed by the SEC or of the Office and guidelines specified by derivatives broker. Such guideline shall at least include, internal control
guideline shall at least include, internal control system, information security system to prevent access from unauthorized person, and effective Chinese Wall between difference departments and staffs as well