debt securities, investors will be more exposed to credit risk of the branches than that of the foreign banks due to limitations of law on bankruptcy. Thus, the SEC revises disclosure of the foreign
financial advisor (IFA), IFA opined that the proposed transaction is not appropriate. IFA described that EMC may be exposed to the risk to acquire the Station 1 Project at the price that is significantly
establishing and managing Yes No the representative office abroad. 3.3 Having a ready working system comprising at least operational Yes No management, compliance and information management, and competent
Limited Companies Act B.E.2535 (1992) to call an extraordinary general meeting in order to elect new directors. The SEC and other competent authorities have issued guidelines to set out the procedures
the audit of information technology general control (ITGC), as many medium-and small-sized audit firms had been identified by the results of inspection to lack sufficient competent personnel in
the quality audit engagements, it is crucial that the firms employ competent personnel with proper time to perform the engagements and the personnel should be engaged in continuous professional
market conduct; (6) competent staff readiness An intermediary shall provide the competent personnel with the suitable amount for the business operation, and shall supervise its personnel to perform duties
conduct; (6) competent staff readiness An intermediary shall provide the competent personnel with the suitable amount for the business operation, and shall supervise its personnel to perform duties in
maintain substantial and adequate financial resources continuously; (5) market conduct An intermediary shall undertake business in keeping with proper standards of market conduct; (6) competent staff