plans and procedures for the SEC including development of operational guidelines, systems to identify, assess, monitor, control or minimize risks and record keeping and reporting system. The Division also
instrument that will be effective from 1 January 2020. The report form will be revised to be in line with the financial statement form which has recently been revised. In addition, SEC considers it
complex instrument type 2 suspended for two months, effective from 21 October 2019. --------------------------- *Investment consultant on complex instrument Type 2 means an investment consultant
majority of our audit firms implemented monitoring tools such as a database tracking staff’s training hours, which could be used by the staff themselves to self-monitor as well as by the firms to monitor
) ...................................................................................... 11 2.2.4 การติดตามและประเมินผู้ให้บริการ (Monitor).................................................................................. 15 2.2.5 การยกเลิกหรือสิ้นสุดการใช้บริการ (Exit
ชั่วคราว หรือถูกสำนักงานสั่งพักการดำเนินธุรกิจ No records to display. ปรับปรุงล่าสุด 30 เมษายน 2566 สอบทานล่าสุด 30 เมษายน 2566
plays the role of promoting and developing the professional standards of financial advisors as they help to select and screen the quality of companies applying for listing in the stock market while also
display all results [Digital Asset] Trading VALUES Classifid BY TYPE of Exchanges ( 2 record(s) found) No. Report Name Data File As of Data Definition 1 Trading Values Classifid by Type of Exchanges August
shall monitor and supervise its personnel, who are responsible for providing investment analysis, consultation or planning to clients, to perform their duties within the specified scope as approved by the
and the disclosure of information concerning certain products in the capital market to its clients shall comply with this Chapter. Clause 23 An intermediary shall monitor and supervise its personnel