records of clients’ assets as prepared by the securities company. For the clients’ assets which are not kept by the securities company itself, the securities company shall put in place a system to retrieve
clients’ assets which are not kept by the securities company itself, the securities company shall put in place a system to retrieve updated information to verify the records of such assets reported by a
established 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
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
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