continuity with suitability, reliability and effectiveness in order that the intermediaries are able to service with the best interest of customers and that the intermediary’s personnel are able to work
material change in value, form, or condition of transactions, including payment and receipts of funds (transaction monitoring); (b) there is doubt concerning the accuracy, up-to-date, reliability, or
-to-date, reliability, or adequacy of the client’s existing records obtained under the KYC/CDD process; (c) it is, or should become, known by the securities company that the database in Clause 14(1) or
accuracy, up-to-date, reliability, or adequacy of the client’s existing records obtained under the KYC/CDD process; (c) it is, or should become, known by the securities company that the database in Clause 14
preventive maintenance, increased spending on Opex & Capex and prepared adequate stocking of critical spares. These actions will continue and will ensure better equipment health and reliability in the coming
accountants. In considering the sufficiency and reliability of the audit quality control system under (1) of the first paragraph, the SEC Office shall present any facts and opinions obtained from the inspection
violate the professional code of ethics or international auditing standards, and the violations lead to negative effect to the overall reliability of the Thai Capital Market. Normal 1. Qualification of
collaboration seeks to build confidence in the Thai capital market, ensuring widespread and fair benefits for all sectors with transparency and trustworthiness. The discussions also covered topics that the SEC
agencies, related associations, and experts. This is to ensure that such guidelines will be accepted and endorsed by all related parties.? Professor Kesree Narongdej, President of The Federation of
, particularly transaction payment rules that specify direct payments to securities firms only, and in case of check payments, they must be endorsed to the securities companies. Transferring money to personal bank