implemented to maintain the integrity of information and security data and to support the effective functioning of application controls. (ISA315) • Application controls are manual or automated procedures that

also with its spirit. Engendering such a culture requires a whole- of-government effort to encourage firms to understand the business case for sound corporate governance. One participant pointed out that

derivatives broker, failed to maintain the net capital (?NC?) in accordance with the rules, conditions and procedures of the Notification of the Securities and Exchange Commission. SEC Act S.97 Settlement

DBS Vickers Securities (Thailand) Co.,Ltd. Between May 29, 2019 and June 11, 2019, DBS Vickers Securities (Thailand) Co.,Ltd., as a securities and derivatives broker, failed to maintain net capital

AEC Securities Public Company Limited Between December 21, 2018 and June 1, 2020 AEC Securities Public Company Limited , as a securities and derivatives broker, failed to maintain the net capital

AEC Securities Public Company Limited Between December 28, 2018 and May 25, 2020, AEC Securities Public Company Limited, as a securities and derivatives broker, failed to maintain net capital in

Asia Wealth Securities Public Company Limited Between February 23, 2021 and May 25, 2021 Asia Wealth Securities Public Company Limited, as a securities broker, failed to maintain the net capital (NC

Asia Wealth Securities Public Company Limited Between March 26, 2021 and February 11, 2022, Asia Wealth Securities Public Company Limited, as a securities and derivatives broker, failed to maintain

units in order to achieve efficiency in the overall operation of the company. (4) have performance appraisal and personnel development in order to maintain staff’s professional competence to remain fit

achieve efficiency in the overall operation of the company. (4) have performance appraisal and personnel development in order to maintain staff’s professional competence to remain fit and proper for the