previous year. The majority of the Company’s expenses came from employee benefits expenses, fee and service expenses, and finance costs, as follows: 2.1 Employee benefits expenses The Company’s employee
decrease of 15 percent compared to the third quarter of the previous year. The majority of the Company’s expenses came from employee benefits expenses, fee and service expenses, and interest expenses, as
education among target groups to expand competent investor bases. At the beginning of the year, the SEC restructured i ts organization to facilitate the implementation of the Capital Market Development Master
branch office, comprising at least an efficient system for operational management, compliance management, information management and preparation of competent personnel. 4.4 Having the result of the latest
, Obligors, Underwriters, and Arrangers; Governance, Risk Management, and Employee Training; and Disclosure and Communication with Market Participants. TERMS For the purposes of the IOSCO CRA Code:5 under
Committee consists of not less than three but not more than five members. Of this total, at least two members must be expert members of the SEC Board and at least one member shall be competent or have
. In view of paragraph 3.2.2(1)(a), a Recognized Representative: (i) is not required to be a full-time employee of the Licensed Firm; (ii) is not required to be attached to a Licensed firm in the Host
would allow them to promptly respond to these new developments. For example, competent auditors who are farsighted and passionate in their learning would be best equipped to adjust to any changes. Hence
> 8. บุคลากรที่มีคุณสมบัติที่เหมาะสม (Qualified Staff) (2) หลักปฏิบัติในการชักชวนลูกค้าเข้าเป็นคู่สัญญาจัดการเงินทุนสัญญาซื้อขายล่วงหน้า (ตามข้อ 3 ของประกาศ ที่ กน. 20/2547
Board of Directors should carefully structure the stock option plan such that the long-term shareholder value will be optimized. The option scheme should also be genuinely effective in retaining qualified