] phanchul Typewriter [Input cancellation date] 2 Data Protection Policy for internal administration available at the SEC Office’s website as well as the methods the SEC Office use to collect, use and disclose
The SEC encourages its inspectors to continue their professional development by providing internal and external training with excellent support from the World Bank. The inspectors have been trained in
technology operation, either by an internal unit of the securities company or by an outsider inspector, in order to inspect all of the potential risks on information technology. In case of inspection by an
inspection of information technology operation, either by an internal unit of the securities company or by an outsider inspector, in order to inspect all of the potential risks on information technology. In
(3) {K}, who neglected inspection and failed to comply with the bank's internal control system, causing the suspicious issues in the dishonest acts to evade inspection. The SEC has therefore banned the
)) Net Liquid Capital Rule (Section 97) Executives / Personnel Major Shareholders Engagement in Related Businesses Internal operation of Securities Companies Auditors Accounting and Financial Statements