records. In addition, he informed http://market.sec.or.th/public/idisc/en/Enforce < < Previous First ... 15 16 17 18 Next

%20Institutional%20Investor%20Responsibilities_2013.pdf Custodians Custodians are responsible for the safekeeping and maintaining of records of the collective investment vehicle’s assets, be these in electronic or

related receipt and payment transactions, and the accounting records practice. The company was also required to examine the issue raised by the auditor whether the questionable transactions of land sales

concerning the issuance of bills of exchanges, the related receipt and payment transactions, the accounting records practice, and the questionable transactions of land sales and purchases. The company was also

requirements to cover both generic user accounts and high-privileged user accounts, and requiring business operators to manage IT incidents by conducting root cause analysis, maintaining incident records, and

SEC Assistant Secretary-General Kumpol Sontanarat said that SEC has recently provided additional service for the capital market. The open data database contain 10-year historical records of fund

express and did not express opinion on such financial statements indicating that the records of allowances for possible losses on collection of short-term loan to subsidiary and trade accounts receivables

Bangkok, July 5, 2012 - The SEC strictly supervises investment consultants (marketing officers) of securities companies to prepare and keep complete records of client's securities or derivatives

.Earlier, the SEC ordered KC to have a special audit on the internal control system concerning the issuance of bills of exchanges, the related receipt and payment transactions, the accounting records

a special audit on the internal control system concerning the issuance of bills of exchanges, the related receipt and payment transactions, and the accounting records practice. The company was also