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
business operations and mitigate undesirable impacts especially the operational risks. The proposed revisions include rectification of non-compliance with capital requirement and imposition of operational
valuation of investment in PT Sunhub Mining International (SMI), an associated company, and share of loss of investment in SMI; resulted in non-compliance with the Thai financial reporting standards.The SEC
บริษัท เคดับบลิวไอ ประกันชีวิต จำกัด (มหาชน) บริษัท เคดับบลิวไอ ประกันชีวิต จำกัด (มหาชน) ("KWI") รายงานการแต่งตั้งการดำรงตำแหน่งผู้รับผิดชอบสูงสุดในหน่วยงานกำกับดูแล (Head of Compliance : "HoC") ราย
and procedures as specified in the Notification of the Capital Market Supervisory Board by failing to report the appointment of the highest level responsible person in the compliance unit to the SEC
policy making, detail of policy and compliment of policy. Compliance Guideline 1. Policy Preparing · Preparing a written policy of security of information technology and the executives, computer staff and
covering the policy making, detail of policy and compliment of policy. Compliance Guideline 1. Policy Preparing o Preparing a written policy of security of information technology and the executives, computer
Approval of Auditors ; 5. I entirely understand the code of ethics for professional accountants and will perform audit work in compliance with the code; 6. I entirely understand the generally accepted
the Notification of the SEC Office regarding Approval of Auditors; 5. I entirely understand the code of ethics for professional accountants and will perform audit work in compliance with the code; 6. I
whether they are in accordance with the advertising and associated rules as well as be approved by CEO before publication. After publication, company’s compliance unit must monitor and examine all