the key issues include competent personnel, professional code of conduct, effective risk management and sound financial condition.? ?Take client acceptance process, for example. It must cover the know
Capital Market dated June 3, 2014, which would be subject to revocation of an approval as fund manager and setting the period for acceptance of re-application for approval as capital market personnel for
since 1 September 2021. SEC Secretary-General Ruenvadee Suwanmongkol said: “This revision to the rules on acceptance of trading orders of capital market products outside of the office of securities
period was instead set as the period for acceptance of his re-application for approval as capital market personnel, effective as from October 9, 2014.
of suspension period was instead set as the period for acceptance of his re-application for approval as capital market personnel, effective as from October 27, 2014. For {B}'s case, the SEC suspended
listed companies, which need investor and stakeholder recognition and acceptance. Moreover, it will motivate other investors to see the importance of making investment in those adhering to anti-corruption
benefits, totaling 341,669 baht. In addition, Somchai arranged a suitability test for the client while giving information inconsistent with facts, and failed to ask the client to sign in acceptance of a
engagement levels. Thus, the quality of SEC?s auditor supervision has been internationally recognized, as evidenced by IFIAR?s acceptance as a member in 2010. In addition, the European Union?s endorsement in
Acceptance and Continuance of Client Relationships and Specific Engagements Engagement Performance Resources Information and Communicatio n Monitoring and Remediation Proces Regulatory Summary of
investment units or suspends acceptance of purchase or redemption orders. (4) Preparation and submission of a report for an accounting period. (5) Announcement of dividend payment such as in the case of