Detailed Rules on Maintenance of Capital of Investment Advisors and Derivatives Advisors and Provisions in Case of Failure to Maintain Capital
can timely identify, capture, process, communicate and maintain relevant and reliable information for supporting the SOQM? 3 How does the firm keep the communicated information current, meaningful and
. (2012) find that IT control deficiencies affect management forecasts. The management forecasts will be less accurate with the existence of material IT control deficiencies. 3 Why DO WE NEED To Audit IT
the CPD records? 9 Does the firm maintain the list of persons who didn’t comply with the mandatory and firm’s CPD targets and its plan for correcting the situation? 10 Whether CPD/training is covered in
determine internal control measure as a part of their corporate culture. Boards and executives should be aware of necessity to create and foster this corporate culture in order to upgrade standards and
skill, care and diligence; (3) management and control An intermediary shall take reasonable care to organise and control its affairs responsibly and effectively, with adequate risk management systems; (4
diligence; 2 (3) management and control An intermediary shall take reasonable care to organise and control its affairs responsibly and effectively, with adequate risk management systems; (4) financial
control An intermediary shall take reasonable care to organise and control its affairs responsibly and effectively, with adequate risk management systems; (4) financial prudence An intermediary shall
of good corporate governance (CG). After listing, the supervisory mechanism will ensure that listed companies maintain their quality, operate business with integrity, have an internal control system
://publish.sec.or.th/nrs/3453pe.doc Translation client’s asset , which is independent from the securities trading unit or securities advisory unit, and must organize a good internal control system for the custody of