: (1) screening and selecting foreign securities business operator that is credible and able to give advice under the law supervising business operator in such foreign countries; (2) notifying
policies, regulations, and guidelines for supervising the trading of derivatives by the employees in order to prevent the illegal use of internal information by the employees and conflicts of interest in the
The derivatives broker shall put in place policies, regulations, and guidelines for supervising the trading of derivatives by the employees in order to prevent the illegal use of internal information by
The derivatives broker shall put in place policies, regulations, and guidelines for supervising the trading of derivatives by the employees in order to prevent the illegal use of internal information by
sufficient and reliable for supervising its auditors’ work performance to comply with the professional standards on a continuous basis. Such audit quality control system shall comply with the audit quality
characteristics and shall comply with the Notifications of the Associations approved by the SEC Office: (1) supervising the trading of capital market products by the employees, both for the investment of the
-ร่าง- (UNOFFICIAL TRANSLATION) Codified up to No. 5 As of 28 November 2018 Readers should be aware that only the original Thai text has legal force, and that this English translation is strictly for reference. Notification of the Capital Market Supervisory Board No. Tor Jor. 39/2559 Re: Application for Approval and Granting of Approval for Offering of Newly Issued Shares _____________________ By virtue of Section 16/6 and Section 89/27 of the Securities and Exchange Act B.E. 2535 (1992), as ame...
Firm Qualifications having audit quality mangement system which is sufficient and reliable for supervising its auditor'work in compliance with the professional standards on a continuous basis. Such
sufficient and reliable for supervising its auditor's work in compliance with the professional standards on a continuous basis. Such audit quality management system shall comply with the international standard
แล้ว เห็นว่าเหมาะสม (2) มีมาตรการป้องกันข้อมูลที่เป็นความลับหรือมีความส าคัญ (sensitive data) กรณีที่อุปกรณ์เคลื่อนที่ สูญหาย เช่น การก าหนดให้ใส่รหัสผ่านก่อนใช้งานอุปกรณ์ (lock screen) หรือการลบข้อมูล