Office may prescribe other conditions for the derivatives broker to comply with. Clause 10. The derivatives broker shall procure personnel who are knowledgeable, capable or experienced and who are
knowledgeable, capable or experienced and who are beneficial to the undertaking of the derivatives brokerage business in a sufficient number to accommodate the undertaking of the derivatives business in an
knowledgeable, capable or experienced and who are beneficial to the undertaking of the derivatives brokerage business in a sufficient number to accommodate the undertaking of the derivatives business in an
the termination will significantly reduce future costs. In addition, the Group has personnel who are knowledgeable and capable enough to be ready to carry out the tasks themselves. Finance costs For the
Activity report 2017En CAPITAL MARKET FOR ALL INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2017 INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2017 Executive Summary Quality Assurance Review Panel Activities for Enhancing Financial Reporting Quality Framework and Focuses in 2018 Root Cause Analysis Summary of Audit Inspection Results A. Firm Level B. Engagement Level Essential Statistics 49 4412 46 0402 07 Contents Executive Summary The capital market is a fundamental component in driving Thai...
who are in Contact with Investors ● Mutual Fund Management Business ● Revision of Rules on Securities Underwriting ● Law Enforcement 52 GOAL 4 Preserve Market Fairness and Transparency, Understand
relation to reasonableness of the connected transaction and fairness of valuation and conditions of the Transaction for shareholders’ approval including submit such opinion to the SEC Office and the Stock
loyalty; (2) performing duties with responsibility and deliberation as a professional and treating each investor with fairness, carefulness and circumspection by taking into account the interest of
beneficiaries, and any issues of intergenerational fairness between them as well as where the ultimate risk-bearing lies within the institutional investor. The ICGN has summarised the key obligations of
protecting investors, promoting fairness, efficiency, transparency of the capital market, and reducing financial systemic risk, and also in convergence with the National Strategy and the National Economic and