, financial condition or the demand of a specific client (specific advice), such intermediary shall assign the job to an investment planner pursuant to the Notification on Rules related to Capital Market
, financial condition or the demand of a specific client (specific advice), such intermediary shall assign the job to an investment planner pursuant to the Notification on Rules related to Capital Market
At present, money market funds are used by investors as a tool to manage liquidity and a place to park money for a short time, besides keeping it in banking accounts. As of February 2018, the size of
6. Audit risks related to developments in the audit firms and profession Tone at the Top / Culture • Potential causes behind lack of improvement in level of inspection findings: fee pressures
approval criteria for auditors in the capital market but certain qualifications will be relaxed such as job title, audit experience and experience in giving opinion for financial reports.The consultation
derivatives exchange; “derivatives clearing house” means an entity licensed to operate business as a derivatives clearing house; “personnel in derivatives business” means: (1) a person who assumes a job for the
DBS Vickers Securities (Thailand) Co.,Ltd. Between May 22, 2019 and June 11, 2019, DBS Vickers Securities (Thailand) Co.,Ltd., as a securities and derivatives broker, failed to put in place a
Bhumibol Adulyadej the Great (5 December 2023). The event took place on 1 December 2023, at the National Blood Centre, the Thai Red Cross Society.
, “Strengthening Good Corporate Governance by Audit Committee and Independent Director: Experiences from Fraud Cases” to discuss samples of fraud cases taking place around the world and to raise the awareness of the
resolved appropriately? Are the nature, scope and conclusions resulting from consultation documented? 8 Are sufficient resources available to enable appropriate consultation to take place? If yes, please