. Derivatives broker shall arrange to have an acceptable and reliable compliance unit. Such unit shall independently operate to monitor the operation of derivatives broker. Clause 7. Derivatives broker shall
, the derivatives advisor shall arrange to have an agreement in writing relating to the settlement of disputes by arbitration organized by the Office as specified in the notification of the Office when
performance. Earlier, the SEC had instructed EARTH to arrange a special audit on the advanced payments for goods and purchase deposits and submit the report by 24 July 2017 and disclose it through the SET
58 (3) of the Securities and Exchange Act B.E. 2535 (1992), the SEC has ordered POLAR to arrange a special audit on the sources, existence and completeness of the accounting records, and the disclosure
Section 58 (3) of the Securities and Exchange Act B.E. 2535 (1992), orders EARTH to arrange a special audit on the advanced payments for goods and purchase deposits by an auditor from any of the Big Four
could be permitted. In this regard, SEC will arrange a meeting among Thai asset management companies, SFC, the Financial Services & the Treasury Bureau, the Hong Kong Monetary Authority and Hong Kong
information within 30 days. In June 2017, the SEC required EARTH to arrange a special audit on the transactions of the advanced payments for goods and the payment for the right to purchase goods. The EARTH’s
disqualification to leave the company. Clause 5. The securities company shall arrange for the full-service branch office to have a branch office manager and the following work units: (1) A securities services unit