concerned person realise the essential of security of the information technology thoroughly had known the duties and responsibilities and guideline on controlling the various risk which have a content
prior to the date the branch office starts its operation, it must not appear that the securities company conducts an offence relating to misleading its financial status or actual performance; (6) have an
securities company conducts an offence relating to misleading its financial status or actual performance; (6) have an efficient complaint handling system for the settlement of dispute, such as act in
Baht. Although the income from the transport services have decreased but the income is similar to the income during the same period last year. The net profit of the third quarter of the year 2018 is more
", "institutional investors", "executives", "controlling person", "short- term bonds" and "structured notes" shall have the meaning given to them under the Notification of the Securities and Exchange Commission on
; (2) not have financial condition that is likely to cause damage or any other circumstances that show its financial hardship; (3) within three years preceding the year of filing application toward the
communicates to the engagement team? 4 Does the firm have a disclosure checklist for the audit of a listed Company? If yes, please attach a disclosure checklist If no, describe how the firm ensures financial
for the execution of this Royal Enactment. Chapter 1 General Section 5. The SEC shall have the following powers and duties under this Royal Enactment. (1) to formulate policies concerning securitisation
company”, “executive”, “institutional investor”, “high net worth investor”, “short-term bond”, and “structured note” shall have the same definitions as given to such terms in the Notification of the