order and control STARK to issue rectified financial statement, but he neglected his duties and consented to the falsification of STARK and its subsidiaries’ financial statements. Moreover, Mr. Prakorn
investment unit redemption of gold ETF : (a) risk management system; (b) internal control system; (c) security system for investors’ information in order to prevent unrelated and unauthorized persons from
ETF: (a) risk management system; (b) internal control system; (c) security system for investors’ information in order to prevent unrelated and unauthorized persons from accessing or amending information
ETF: (a) risk management system; (b) internal control system; (c) security system for investors’ information in order to prevent unrelated and unauthorized persons from accessing or amending information
1 Operation Control Clause 4. Securities company shall have an effective internal control system, risk management system, and a system protecting conflict of interest and shall prescribe rule and
4. Securities company shall have an effective internal control system, risk management system, and a system protecting conflict of interest and shall prescribe rule and procedure of such systems in
or need of such person; “Office” means The Office of the Securities and Exchange Commission. Chapter 1 Operation Control Clause 4. Securities company shall have an effective internal control system
investment unit redemption of gold ETF : (a) risk management system; (b) internal control system; (c) security system for investors’ information in order to prevent unrelated and unauthorized persons from
efficient operating systems relating to being an agent for selling or receiving requisition of investment unit redemption of gold ETF: (a) risk management system; (b) internal control system; (c) security
said acts; (3) a provision of law, rule, by-law, notification or directive under law on derivatives or law on trust for transaction in the capital market which is considered that the alleged person has