valuation of investment in PT Sunhub Mining International (SMI), an associated company, and share of loss of investment in SMI; resulted in non-compliance with the Thai financial reporting standards.The SEC
secure or satisfy the obligations incurred incidental to or resulted from derivatives transaction for the account of a customer, it shall, in compliance with the rules specified in the notification of the
forth by the SEC Board and supervise compliance and enforcement of the securities laws. The SEC Office is headed by Secretary-General who is appointed by the Cabinet upon the Minister of Finance’s
firm’s compliance with its system of quality control or for a longer period if required by law or regulation? 3 Does the firm have policies and procedures relate to the access of audit file as well as back
inspection to evaluate its compliance with its policies and procedures? – Monitoring Process If yes, please specify 1) Who perform such function e.g. in-house, outsource, network firm? 2) How often the firm
Company Name Licensee Type Status Company Name : Licensee Type : Score Type : Anti-Corruption Status : Certified by CAC Declared to join CAC Ensure its compliance by parent company Assessment Type : Status
and procedures as specified in the Notification of the Capital Market Supervisory Board by failing to report the appointment of the highest level responsible person in the compliance unit to the SEC
บริษัท เคดับบลิวไอ ประกันชีวิต จำกัด (มหาชน) บริษัท เคดับบลิวไอ ประกันชีวิต จำกัด (มหาชน) ("KWI") รายงานการแต่งตั้งการดำรงตำแหน่งผู้รับผิดชอบสูงสุดในหน่วยงานกำกับดูแล (Head of Compliance : "HoC") ราย
policy making, detail of policy and compliment of policy. Compliance Guideline 1. Policy Preparing · Preparing a written policy of security of information technology and the executives, computer staff and