succeed without having efficient internal units comprising (1) company secretary having duty to monitor the company and its executives to comply with laws and keeping important information, (2) internal
การขายชอร์ตและการส่งมอบหลักทรัพย์ เพื่อการบริหารความเสี่ยงจากการทำหน้าที่เป็นผู้ดูแลสภาพคล่อง (market maker)ของบริษัทหลักทรัพย์ และการจัดการทรัพย์สินลูกค้าเมื่อเกิด internal short
Bangkok, August 20, 2012 ? The SEC revealed that examination on quality assurance of audit firms showed satisfactory result after the issuance of regulation requiring all auditors of companies in the
report of K.C. Property Public Company Limited (KC) to 8 March 2017. Earlier, the SEC ordered KC to have a special audit on the internal control system concerning the issuance of bills of exchanges, the
limitation on examination by the company?s executives regarding the company?s misuse of proceeds received from increase of capital by investing in common shares and warrants of P Plus P Plc. The proceeds used
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
Penal Code.Earlier, the SEC on March 16, 2012, had ordered GEN to rectify its financial statement 2011 due to the limitation on the auditor? examination by the company?s executives regarding the company?s
authorities of each level of employees related to the register of securities; (b) management and storage of the register of securities and related securities certificates; (c) examination of the internal system
Bangkok, September 18, 2014 ? The SEC imposed additional requirements on new principle valuers for transactions in capital market that they must pass examination and be interviewed by the SEC. The
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