appropriate for scope, quantity and complexity of their businesses. In addition, risk management structure and system must be equipped with mechanisms for check and balance, control, monitoring, and escalating
currently more than 9,000 funds, or check whether any juristic person or person is properly licensed or approved in the capital market. By 2018 SEC aims to expand the scope of data services to be more
expressed a qualified opinion in the auditor's report on the financial statements for Q1/2016 and Q2/2016 because the auditing scope was limited by the company's executives. Consequently, the auditor was
Notification concerning financial advisor approval and scope of performance which specifies that financial advisor supervisor must be responsible and perform duties with prudence and care in compliance with laws
business operator after license revocation, and (6) stating the scope on supervision of infrastructure service providers in the capital market which would allow the operators to conduct their business
of the Bank of Thailand (BOT). SEC would like to thank BOT for fostering the development of NDID system to its practical use and allowing the extension of its scope of services to intermediaries in
trading by minimum disclosure of the following information: (1) information relating to the financial status, credibility and scope of the derivatives dealer ’s business; (2) detailed information pertaining
disclosure of the following information: (1) information relating to the financial status, credibility and scope of the derivatives dealer’s business; (2) detailed information pertaining to types
construction, area size, and materials selection - Product database development fees : Fees depending on the scope of work, the number of product database, and man-day in services - Sales management fees : Fees