integrity by strongly being concerned about the market integrity as a whole; (2) skill, care and diligence An intermediary shall conduct its business with due skill, care and diligence; 2 (3) management and
Bangkok, July 8, 2016 ? The SEC Independent Audit Inspection Activities Reports for the second-cycle period during 2013-2015 have shown significant progress in the quality control system of audit
Rules, Conditions and Procedures for Operational Control in Underwriting of Securities (No. 2)
transmission of the virus. The company has been closely monitoring the epidemic situation. The company is concerned that the General Meeting of Shareholders at this time, the company will not be able to
proper investment management are concerned. To account for these concerns, international organizations and leading countries have laid out their own I Code. Furthermore, I Code is now one of the criteria
internal control environment. · Whether the client is aggressively concerned with maintaining the firm’s fees as low as possible. · Indications of an inappropriate limitation in the scope of work
Repeal of the Notification of the Office of the Securities and Exchange Commission regarding Operating Control and Information Technology Security of Securities Company
investment advice, was negligent in supervising work control and compliance at the branch, which consequently led to inappropriate investment as far as the client's demand and risk profile were concerned. The
"electronic possession" OR "electric ownership" OR "electric control" OR "digital ownership" OR "digital control"&wt=json&indent=true&facet=true&facet.field=key_filetype&facet.field=key_sitemap&facet.field
) Microsoft Word X ( 5 ) ดูเพิ่มเติม >> http://172.19.1.196:8983/solr/secweb/select?q=electrical control OR "electrical control" OR "electric manage" OR "electric oversee" OR "power manage" OR "power oversee