or complex characteristics issued and offered for sale in an ASEAN country. “agricultural commodity trading management official”2 means a person assigned by derivatives investment manager to supervise
, summon or any other document relevant to the applicant, and shall be able to demonstrate that such representative has ability to perform the assigned duties. In this regard, the representative thereof
Section 317 of the Securities and Exchange Act B.E. 2535: (1) the Commissioner-General, Royal Thai Police or the Deputy Commissioner in case where the Commissioner-General is unable to perform the duty of
for the same securities at the same prices. Disguising that the confirmation on security deposit was made by the client was failure to perform duties with honesty whereas trading securities and
Bangkok, March 16, 2015 ? The SEC suspended Napat Pipattaraauksorn, a capital investment consultant, for trading securities and derivatives on behalf of clients, failure to perform duties with
Bangkok, 15 March 2017 - The SEC has suspended two securities investment consultants, {A} for failing to perform duties with deliberation as a professional, and {B} for performing duties or providing
Due to the spread of the COVID-19 pandemic, securities companies and derivatives intermediaries have to allow their employees to perform duties from home and provide operational systems and
ผู้รับดำเนินการในงานที่เกี่ยวข้องกับการประกอบธุรกิจ (outsource) ซึ่ง บลจ. มีหน้าที่กำกับดูแล (supervise) บุคคลภายนอกดังกล่าวปฏิบัติให้เป็นไปตามหลักเกณฑ์ที่กำหนดเกี่ยวกับงานที่รับมอบหมายด้วย 2
substantive procedures or if the substantive procedures alone are not sufficient, then the auditor shall design and perform tests of controls to obtain sufficient appropriate audit evidence about the operating
auditors and perform the audit under the provisions of the law governing auditors and any additional regulations specified in the notification of the SEC. The approval of the auditor under the first