internal control is rectified as follows: (1) monitor, inspect and evaluate the effectiveness of the operating procedures of the work unit responsible for the following functions by an independent auditor
TRANSLATED VERSION As of August 27, 2014 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 37 Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries _____________________________ By virtue of Section 16/6 and Section 113 of the Sec...
rights of a customer as follows; (a) the right to be informed of any behavior which may cause a conflict of interests; (b) the right to inspect customer personal information including the advice that the
the paid up ordinary shares of WPS. The purchase price Baht 9.645 per share, totaling Baht 407.50 million. The Company has the right to inspect and accept a production related inventory, such as raw
postpone the transfer until they can inspect their units by themselves. Potential Thai buyers, on the other hand, adopting Social distancing, a well-known campaign during COVID-19 outbreak, opted to delay
derivatives business that will be commenced specifically to agricultural derivatives; (2) in the case where the licensee has requested the SEC Office to inspect operation's promptness during application
Board or the SEC Office, including the operational guidance specified by the intermediary to comply with such rules. (2) consent of the service provider for the SEC Office to inspect the operation of the