& 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
MANAGEMENT COMPANY LIMITED FINANCIAL LINK MUTUAL FUND BROKERAGE SECURITIES COMPANY LIMITED MAYBANK SECURITIES (THAILAND) PUBLIC COMPANY LIMITED MERKLE CAPITAL COMPANY LIMITED MERCHANT PARTNERS ASSET MANAGEMENT
://www.macquarie.com/th/en.html MST MAYBANK SECURITIES (THAILAND) PUBLIC CO.,LTD. http://www.maybank-ke.co.th MERCHANT MERCHANT PARTNERS SECURITIES PUBLIC CO.,LTD. http://www.merchant.co.th PST PHILLIP SECURITIES
AND HOUSES SECURITIES PUBLIC CO.,LTD. http://www.lhsec.co.th/ MACQ MACQUARIE SECURITIES (THAILAND) LTD. https://www.macquarie.com/th/en.html MERCHANT MERCHANT PARTNERS SECURITIES PUBLIC CO.,LTD. http
LIBERATOR SECURITIES CO.,LTD. MACQ MACQUARIE SECURITIES (THAILAND) LTD. https://www.macquarie.com/th/en.html MST MAYBANK SECURITIES (THAILAND) PUBLIC CO.,LTD. http://www.maybank-ke.co.th MERCHANT MERCHANT
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