derivatives business operator is an individual, such individual shall not have any of the following prohibited characteristics: (1) being a person under receivership or a bankrupt; (2) being an incompetent or
derivatives business operator is an individual, such individual shall not have any of the following prohibited characteristics: (1) being a person under receivership or a bankrupt; (2) being an incompetent or
Fast Track qualifications will be inspected by the SEC prior to approval. The inspection may include, but not limited to a) checking the basic individual qualifications of the applicant i.e. having
individual qualifications of the applicant i.e. having extensive audit experience, holding a CPA license, not possessing prohibited characteristics and rohibited behaviors
risk Specific risk SET 50 individual stock/ หุ้นต่างประเทศ ในกลุ่ม large market capitalization 8% 12% Non SET 50 individual stock/หุ้นต่างประเทศ นอกกลุ่ม large market capitalization 10% 20% สินทรัพย์
standards and relevant regulations as well as being communicated to the personnel. Moreover, the inspection results of individual audit engagements in 2017 showed that the overall audit quality had improved
extended our aspiration to become the most-preferred platform that can meet customers’ needs in every aspect of their lives. All of these endeavors aim to understand and anticipate each individual customer’s
share- holders (through what is known as 'tunnelling' 3 ), or misrepresenting an individual company's financial statements (of particular concern where the company is under pressure to meet expectations
, requirement, or policy made or given by or to be taken into account by the Recognised ACMF Member in its jurisdiction; “Licensed Firm” means any legal person authorised to undertake the business related to
arising, whether directly or indirectly, whether in contract, tort or otherwise from any action or decision taken (or not taken) as a result of any person relying on or otherwise using this document or