assuming responsibility for management decisions for audit client; · operate an enforcement mechanism to promote compliance with the policies and procedures; · empower staff to communicate concerns to senior
decisions for audit client; · operate an enforcement mechanism to promote compliance with the policies and procedures; ขึ้ · require the Ethics Partner to carry out appropriate investigations, where the
money which the client is entitled to be paid by the securities company , for payment of the client’s outstanding debt; (d) termination of an agreement. An agreement made between a securities company and
securities; (c) suspension of money which the client is entitled to be paid by the securities company, for payment of the client’s outstanding debt; (d) termination of an agreement. An agreement made between a
securities; (c) suspension of money which the client is entitled to be paid by the securities company, for payment of the client’s outstanding debt; (d) termination of an agreement. An agreement made between a
) operating system for communications and services shall comply with the regulations under Chapter 1/1; (2) compilation and assessment of client information shall comply with the regulations under Chapter 2; (3
) operating system for communications and services shall comply with the regulations under Chapter 1/1; (2) compilation and assessment of client information shall comply with the regulations under Chapter 2; (3
) operating system for communications and services shall comply with the regulations under Chapter 1/1; (2) compilation and assessment of client information shall comply with the regulations under Chapter 2; (3
Bangkok, March 24, 2015 - The SEC disclosed an inappropriate behavior and imposed a suspension on {A}, a former employee of KGI (Thailand) Securities Plc., for failure to completely record client?s
, indicating that he had been authorized by his client to make securities trading decisions on the client's behalf. The communication record showed that {A} called to inform his client of the trading orders