company by taking into account the appropriateness and acceptable risk level. The securities company should specify the details on the designation or approval for such action clearly in writing, and monitor
log-on and enforce password 24 changes at least once every six months; (5) prevent previously used passwords; (6) not display passwords on the screen while being entered; (7) store password files in
least once every six months; (5) prevent previously used passwords; (6) not display passwords on the screen while being entered; (7) store password files in encrypted form and keep them separately from
characteristics under the SEC Office Notification concerning financial advisor approval and scope of performance B.E. 2552. The SEC, therefore, revoked the financial advisor supervisor approval granting to {A}.In
of the companies? annual financial statements 2015 after the auditors had issued a disclaimer and expressed a qualified opinion on the said financial statements because the scope of the audit was
in becoming the wealth advisor.The wealth advisor may choose to carry out the wealth advice services according to its business model within the scope of the license obtained and must have the
will monitor the progress of the ongoing legal proceedings and collaborate fully with relevant agencies in subsequent processes after the filing of the criminal complaint to support law enforcement
disclaimer and expressed a qualified opinion on the said financial statements because the scope of the audit was limited by the companies’ executives. Both AIE and AI must submit the corrected and audited
Us SHARE : Detail Content Our Roles The capital market is the main mechanisms that efficiently mobilize, allocate, and monitor the utilization of the economic resources. The capital market links and
causing the coin can only trade on Bitkub’s exchange and experiencing a very unusual price adjustment. Since Bitkub’s compliance system failed to supervise the product department to monitor the properties