compliance unit in which acceptable and reliable standards are adopted. The compliance unit shall be independent to monitor the operation of the derivatives broker. Clause 8 The derivatives broker shall put in
period of five years prior to submitting the application; (b) the person shall be knowledgeable and have capability in performing a reliable valuation of infrastructure assets ; 2 (2) in the case that the
company’s securities business license, Type C, to be revoked. The SEC Office has important roles of ensuring that securities and derivatives business operators have in place appropriate, reliable, fit and
: "The SEC expects executives of securities companies to strictly supervise compliance with good corporate governance principles. A reliable KYC/CDD system can reduce the possibility of inappropriate
reporting environment, the AARG must continue to be progressive and work closely with the profession to raise audit quality standards and provide reliable financial reporting in ASEAN.? _________________
reflects low operating risk, growing demand for tap water, and reliable stream of cash. 5. Raw Water Business Raw water revenue in the first half of 2017 was 1,310.05 million Baht, decreased by 123.91
) specification of margin corresponding to the risks and characteristics of securities, and the price used for calculation shall be from reliable sources; (5) determination of margin requirement of high liquidity
price from reliable source of information in the calculation; (7) requirement for members to place margin by the secured assets with high liquidity and low price volatility which may be in the form of
reliable financial reports and have appropriate number and qualification of independent directors. As representatives of the six institutional investors, having responsibility to manage more than 7 trillion
securities company to follow. Clause 5. A securities company shall arrange to have compliance unit and an internal audit unit with recognizable and reliable standard. Such units shall undertake independent