regarding key issues and report directly to the executive board or the board of directors; (4) reviewing the risk management system to ensure that it is always current and up-to-date. Clause 3 A securities
regarding key issues and report directly to the executive board or the board of directors; (4) reviewing the risk management system to ensure that it is always current and up-to-date. Clause 3 A securities
other past behaviors demonstrating inappropriateness for acting as capital market business personnel. Investors are strongly advised to always verify transaction confirmation documents to make sure
accounts regularly to prevent other persons from using the accounts to trade securities without the investors’ authorization. Besides, transaction conformation documents must always be monitored to make sure
inappropriateness for acting as capital market business personnel. Investors intending to subscribe for investment units of mutual funds are strongly advised to always verify transaction confirmation documents to
complaint, regulators follow up. The complaint is often but not always adjudicated by FINRA • A regulator in every industry does different things, the entities we study are different than those in banking THE
have recruitment policies and procedures? If yes, please describe. 2 How the firm determines staffing requirement and minimum qualifications for each position? 3 Does the firm always acquire satisfactory
Trust, Always Verify” โดย “การเข้าถึง” ที่มาจากทั้งบุคคล อุปกรณ์ ระบบ หรือจากเครือข่ายภายนอก หรือภายในองค์กรที่จะต้องผ่านการตรวจสอบ และได้รับสิทธิ์เท่าที่จำเป็น (Lease privilege) เท่านั้น ดังนั้น การ
transactions. 2Total of each segment may not always tally with consolidated financials due to holding segment. 3 3Core EBITDA is Reported EBITDA less Inventory gains/(losses). 4Core Net Profit is Reported Net
financials are based upon elimination of intra-company or intra-business segment) transactions. 2Total of each segment may not always tally with consolidated financials due to holding segment. 3Core EBITDA is