Control | - |- Compliance / Internal control | - |- Information Technology |- Internal operation of Securities Companies | - |- Outsourcing Services | - |- Appoint service provider OR marketing
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inspection cycle (2016 to 2018), audit firms in the capital market established and maintained a system of quality control as required by the Thai Standard on Quality Control (“TSQC 1”). The majority of audit
Notification of the Office of the Securities and Exchange Commission concerning the Operational Control and Security relating to Information Technology of Securities Company; (2) the Notification of the Office
paragraph relating to computer or electronic system: (1) the Notification of the Office of the Securities and Exchange Commission concerning the Operational Control and Security relating to Information
Notification of the Office of the Securities and Exchange Commission concerning the Operational Control and Security relating to Information Technology of Securities Company; (2) the Notification of the Office
Notification of the Office of the Securities and Exchange Commission concerning the Operational Control and Security relating to Information Technology of Securities Company; (2) the Notification of the Office
sufficient and effective systems of operation, control and risk management. SEC Act S.113 Settlement Committee Meeting No. 5/2020 Settlement Committee Order No. 26/2020 Dated 02/09/2020
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 18. In order to protect customers, maintain stability of the financial system or control the risks arising from derivatives, the SEC shall
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 18. In order to protect customers, maintain stability of the financial system or control the risks arising from derivatives, the SEC shall