securities which is not reveal to public and the securities known by its business operation; “investor contact”1 2 means a person who contact, solicit, giving advice or prepare an investment plan to the
an institutional client; “inside information” means any information which substantial to the change of price of the securities which is not reveal to public and the securities known by its business
, thus exposing the refinery to inventory loss. For Q1/2018, an inventory loss of THB 70 million. 3. BCP Trading Pte., Ltd. revenue increased of 283% from Q1/2018 due to its trading transactions expansion
operation of the Company and the subsidiaries. The selected subjects should be significant to the business operation, for example, exposing material risks to the core business or impacts on the stakeholders
) to clients; (3) visibly reveal the redemption prices; (4) control and monitor any employee who gives the information thereof to clients for correctness and accuracy. Chapter 5 Sending out Transaction
shall be opened for service at least throughout the working hours of the intermediary. (2) promote or dessiminate information on the arrangement under subclause (1) to clients; (3) visibly reveal the
INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2020 SECURITIES AND EXCHANGE COMMISSION, THAILAND Contents Executive Summary 01 04 08 15 28 58 62 70 47 Quality Assurance Review Panel Activities for Enhancing Financial Reporting Quality Summary of Audit Inspection Results A. Firm-Level B. Engagement-Level Root Cause Analysis Framework and Focuses in 2021 Essential Statistics Auditing Landscape in Thailand Executive Summary Over the past year, the Thai capital market experienced tremendous volatili...
example, exposing material risks to the core business or impacts on the stakeholders. In any case, disclosure of information in this Part should take into account the Guidelines for Sustainability Reporting
which shall be opened for service at least throughout the working hours of the intermediary . (2) promote or disseminate information on the arrangement under subclause (1) to clients; (3) visibly reveal