management company to provide advice or information concerning investment in a fund; (c) having systematic procedures and methods for accepting of purchase or redemption orders which can be examined for
securities investment consultant at the bank, committed wrongful acts against investors’ assets by accepting the investors’ subscription money for mutual fund investments during off-business hours but not
each. The acceptance of the fine penalty by most of the offenders will be used to furtherance the merit of the SEC?s criminal complaint against Siwasit, Noppawan and Viroj. In addition, Kornyachath?s
, specifying the employer’s duty to report information related to funds and members, specifying acceptance of electronic transactions, revising the rate of surcharge in case the employer remits the savings or
) acceptance of reports via electronic system instead of hardcopy submission, (2) discontinuation of reports to the https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=9132 ’ digital assets under BX’s control
acceptance and continuance evaluation, etc? · Using electronic databases · Manual notes · Checklists https://www.sec.or.th/EN/Documents/Auditor/documentation.doc SignIE8.aspx Electronic Transaction Testing
relative to independence confirmations, performance evaluations, results of monitoring, client acceptance and continuance evaluation, etc? · Using electronic databases · Manual notes · Checklists https
facilitate operation of business sectors, scheduled for completion in Q4 of 2021 collectively and concurrently and the consideration is divided into three areas, namely (1) acceptance of reports via electronic
documentation.doc matters relative to independence confirmations, performance evaluations, results of monitoring, client acceptance and continuance evaluation, etc? · Using electronic databases · Manual notes
three areas, namely (1) acceptance of reports via electronic system instead of hardcopy submission, (2) discontinuation of reports to the https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=9132