& Records Requirements | - |- Risk Control | - |- Compliance / Internal Control | - |- Conflict of Interest | - |- Online Submission |- Protection of Customer Assets (Section 98(3)) |- Reporting of Securities
) | - |- Dealer of capital market product denominated in foreign currency | - |- Know Your Clients | - |- Books & Records Requirements | - |- Risk Control | - |- Compliance / Internal Control | - |- Conflict of
SEC Secretary-General Ruenvadee Suwanmongkol said: “The SEC gives priority to the audit quality control system of audit firms in the capital market, and regularly inspects and issues inspection
Bangkok, January 22, 2014 ? Following the acquisition of control over Electronics Industry Public Company Limited (EIC) by Bee Taechaubol and Thai Prime Co.Ltd., where the tender offer for all EIC
, achieving the SDGs requires significant investment, and the current level of investment by the government alone is not enough to meet the ambitious targets. We need to unlock the new source of finance
partnership will be critical in driving more disclosure from corporates and financial institutions, raising awareness of the TCFD recommendations and shaping ambitious policy. Environmental disclosure is now
firm’s compliance with its system of quality control or for a longer period if required by law or regulation? 3 Does the firm have policies and procedures relate to the access of audit file as well as back
มือทางการเงิน” และ “บทบาทของผู้สอบบัญชีต่อการประเมินความเสี่ยงและตรวจสอบ IT Application Control” โดยมีนายประสัณห์ เชื้อพานิช กรรมการ ก.ล.ต. (ที่ 6 จากขวา) และนายสุพจน์ สิงห์เสน่ห์ ประธานคณะกรรมการ
Bangkok, May 24, 2016 ? The SEC is seeking stakeholders? and public comments on a proposed amendment to the rules governing prevention and control of conflicts of interest of asset management
securities analysts to participatein fintech development/application processes;(4) Have control and inspection system for algorithm;(5) Have data management and governance;(6) Disclose scope