inside information regarding securities issuers; (4) clear scope of work, duties and responsibility of executives and units. Clause 4/1.8 A securities company shall have independent director of at least
least set out measure to protect the access to inside information of units and personnel who has an opportunity to access the inside information regarding securities issuers; (4) clear scope of work
: ............................................................................................................................... 2. Starting Date of Operation: ............................................................................................................ 3. Details of the Company: 3.1 Scope of operation of the
’ qualified opinions resulted from limitation on their scope of audit/review. Hence, the auditors were unable to obtain sufficient and appropriate audit evidence with respect to valuation of investment in PT
reporting such incidents to the SEC; (4) To adjust the applicable scope for investment advisory business operators to ensure that they will be able to implement sufficient controls for managing
its subsidiary?s building and equipment. CEI was further instructed to submit its annual financial statements for the period ending 31 July 2006 without scope limitation on the auditor?s examination
trading orders for one of his clients and, on some occasions, to have contradicted the client?s instructions. Weeraparn was briefed on a general scope of investment by the client who allowed him to send
misappropriation of and interference with client assets. In addition, handling securities conversion for clients was beyond the scope of responsibilities assigned by her employer securities company. Sutthasinee?s
elevate good corporate governance of private sector, Transform the role of the Stock Exchange of Thailand into a commercial oriented, Reconsider the scope of securities businesses conducted by