the key issues include competent personnel, professional code of conduct, effective risk management and sound financial condition.? ?Take client acceptance process, for example. It must cover the know
The securities companies and derivatives brokers are presently required to maintain net capital (NC) in a specified amount in order to sufficiently cover risks from conducting business. However
drafting the relevant notification that would cover the scope of products for which the business operators can provide services, being listed products on the Thai capital market and foreign capital
is intended to propose the draft notification that will cover the clear segregation of work for the delegation of other persons to operate. The draft notification also allows business operators to
principle the proposed guidelines which cover four major areas, as follows: (1) To support current PVD employers in signing up employees for PVD membership automatically unless opting out; (2) To promote
be given based on clear and accurate information. With uncertainty, investment analysts? view must cover both best and worst case scenarios, to prevent investors? unreasonable expectation. For listed
together with cross-bordering offering under equivalent standards of high quality financial reporting. The AARG discussion will cover the latest global inspection survey results conducted by International
complete a Continuing development course in accounting knowledge for not less than six hours per calendar year. 2. A Scope of Training Course The training course contents should cover essential knowledge
cover the following general matters: · ensure firm’s commercial considerations do not override the quality of work performed; · The firm’s performance evaluations, compensation, and promotion (including
system which can prevent any misconduct that may cause damage to clients or securities holders and such system shall at least cover the following matters: (a) separation of operational units and