Bangkok, September 25, 2014 - The SEC organized ?3rd SEC Working Papers Forum?, jointly with the Faculty of Business Administration and the Faculty of Management Sciences, Kasetsart University presented three research papers on ?Listed Company Assessment?. Dr. Vorapol Socatiyanurak, SEC Secretary-General said that the third SEC Working Papers Forum, organized under the MoU with four leading business schools aiming to provide a platform for capital market research presentation and implementation....
Line "ผู้แนะนำการลงทุน (เลขที่ทะเบียน IC 048919)" impersonate "Investment Consultant with approval Identification number 048919" : Unlicensed securities and derivatives business (Disclosure Date : 06
such board of directors; (1) management of information technology risks which covers identification, assessment, and control of risks within the organization’s acceptable level; (2) allocation and
) establish conditions and controls relating to information security in an agreement signed by both parties; (2) monitor, evaluate, review and audit service delivery of the outsourcee regularly; (3) re-assess
accepting any audit engagements; assess the firms? adequacy of human resources with sufficient skills, knowledge, and capabilities to deliver high quality audit work; and improve risk assessment criteria to
transactions or involving multiple jurisdictions. 2 Clause 4 The derivatives clearing house shall regularly assess the adequacy of the value of the financial resources for covering credit risk and liquidity risk
a guidance for companies to evaluate their internal control adequacy. This evaluation form is based on COSO1s framework (The Committee of Sponsoring Organizations of the Treadway Commission) revised
client’s true identity (client identification), including the identity of the ultimate beneficial owner and the controlling person of the transactions; (2) verify the client’s identity using reliable sources
identification), including the identity of the ultimate beneficial owner and the controlling person of the transactions; (2) verify the client’s identity using reliable sources of information (client verification