Bangkok, February 23, 2015 ? The SEC is seeking public comment on proposed revision of rules governing operational control and information technology (IT) security of the securities companies and
(Thailand) Co.,Ltd. (“DBS”), shall be liable for DBS’s failure to put in place a sufficient and effective systems of operation, control and risk management of derivatives broker which violated section 113 of
), misappropriated PPPC's money to invest in and pay off debts of the companies over which he had full control for his own benefit, causing damage to PPPC's property, violating Section 307, 308 & 311
") control system which is the persons not appointed from Finnomena or obtained an approval from SEC Office performed IC’s duty. SEC Act S.113 Settlement Committee Meeting No. 6/2023 Settlement
) Regulatory sandbox: revising the definition of securities businesses to include an emerging business model that uses financial technology to experiment and offer innovative products and services to investors
. (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
of Contents Page 1. Audit Firm profile 1 2. Network firms of the Audit Firm 4 3. Internal management of the Audit Firm 5 4. Inspection results on quality control system by other agencies (if any) 5 5
. (UNOFFICIAL TRANSLATION) (Revision 2015) Table of Contents Page 1. Audit Firm profile 1 2. Network firms of the Audit Firm 4 3. Internal management of the Audit Firm 5 4. Inspection results on quality control
รองเล้ียงชีพ พ.ศ. 2530 325,000 - รายจ่ายท่ีใช้งบประมาณปกติ - - ยุทธศาสตร์องค์กร Innovative Organization 22,600,000 1,310 0.01 รายจ่ายท่ีใช้งบประมาณพัฒนาตลาดทุน - - รายจ่ายท่ีใช้งบประมาณปกติ 22,600,000
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