renewal of approval.5 10 In case of applying for work recontinuation after completing suspension term due to possession of prohibited characteristics. − ✓ Only examination on related rules is required
remark 1)2 10 In case of applying for work recontinuation after completing suspension term due to possession of prohibited characteristics. − ✓ Only examination on related rules is required. − − 11 In case
of commercial bank, securities company or financial institution established under specific law due to the lack of qualifications or the possession of prohibited characteristics pursuant to the law
ensure properness of internal control system as well as efficient and productive operations. [ Executive Officers of the Office of the SEC ]12 . . . . . . . . [ EXECUTIVE OFFICERS OF THE OFFICE OF THE SEC
specified characteristics: (1) monitor to acknowledge possession of any unqualified characteristic of the directors, executives, and controlling persons as prescribed in Clause 23. In case there is a certain
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
มือทางการเงิน” และ “บทบาทของผู้สอบบัญชีต่อการประเมินความเสี่ยงและตรวจสอบ IT Application Control” โดยมีนายประสัณห์ เชื้อพานิช กรรมการ ก.ล.ต. (ที่ 6 จากขวา) และนายสุพจน์ สิงห์เสน่ห์ ประธานคณะกรรมการ
Bangkok, May 24, 2016 ? The SEC is seeking stakeholders? and public comments on a proposed amendment to the rules governing prevention and control of conflicts of interest of asset management
securities analysts to participatein fintech development/application processes;(4) Have control and inspection system for algorithm;(5) Have data management and governance;(6) Disclose scope
SEC requests that business operators implement the BCP that must cover key work systems, including the trading system, the risk control system in compliance with the Net Capital Rules and the