efficient operating systems relating to being an agent for selling or receiving requisition of investment unit redemption of gold ETF: (a) risk management system; (b) internal control system; (c) security
of Intermediary to Handle Clients’ Complaints and participation in the SEC Office’s project to resolve disputes by arbitration. 4.3 Having a business plan and an operating system for establishing a
Mr. Suriya Lapvisuthisin Between 2004 and 2005, Mr. Suriya Lapvisuthisin, authorized to manage and operate Power-P Public Company Limited (POWER), caused Mr. Ratchasak Susewi, former Chairman and
) Chapter 2: IT Security with the following details: 2.1 Information Security Policy; 2.2 Organization of Information Security; 2.3 Human Resource Security; 2.4 Asset Management; 2.5 Access Control 2.6
: IT Security with the following details: 2.1 Information Security Policy; 2.2 Organization of Information Security; 2.3 Human Resource Security; 2.4 Asset Management; 2.5 Access Control 2.6
fundraising will be through a short-term loan. PLANB is considered a related party of MACO because both companies share the same major shareholder; (3) Contract with PLANB to allow PLANB to manage
guidelines cover the key areas of risk management, internal control, code of conduct, conflicts-of-interest management, handling of complaints against the SEC's staff, communication with stakeholders and
consultants to handle suitable portfolios for investors through different company names such as Global Investments Far East Ltd. and Global Investments International Ltd. via www.globalinvestments.net and
auditor appointed by an audit firm is unable to perform audit work for a listed company and the audit firm has an insufficient number of auditors in the capital market to handle the situation, the listed
already been put in place to handle situations that may affect business operation and to reaffirm readiness of the stock exchange, the debt market and the derivatives market, including the clearing and