service for share subscription, for example, would be allowed to use a suitable method for account opening if they could prove that adequate safeguards against impersonation risk have been in place under
regulations focus more on clear and adequate information disclosure for investment decision making,? said Vorapol.
registration statement (if any), must emphasize on information of the issuing branches, either short-term or long-term debt securities, to better reflect credit risk.Also, to ensure adequate information for
amendment to regulations on capital adequacy of securities business operators to be more adequate and efficient, (4) the development of personnel in capital market businesses through competency training
biography of the audit committee. The audit committee number 1 has adequate expertise and experience to review creditability of the financial reports. The audit committee of the company has the scope of
, employs a proper internal control system, and establishes an efficient and effective risk management system. To perform such roles, the audit committee, therefore, needs adequate knowledge and understanding
: Rules, Conditions, and Procedures for Operation of Securities Clearing Houses and Central Securities Depositories dated 3 August 2016 with respect to the procurement of adequate financial resources for
August 2016 with respect to the procurement of adequate financial resources for covering risks and the detailed operation concerning the risk management. Clause 3 The derivatives clearing house shall
has decided that intermediaries shall comply with the rules and conditions issued by the AMLO instead; however, intermediaries shall have an efficient risk management system adequate for the prevention
has decided that intermediaries shall comply with the rules and conditions issued by the AMLO instead; however, intermediaries shall have an efficient risk management system adequate for the prevention