failure to perform pursuant to the operating system or other measures: (a) punishing directors, executives or other personnel who were involved in the breaching; (b) reimbursing damages or compensating
Securities and Exchange Commission Independent Audit Inspection Activities Report THE ROAD LEADING TO GROWTH 2013 This report is available for download on the SEC website: www.sec.or.th Contact For more information, please contact us at: Securities and Exchange Commission,Thailand 333/3 Vibhavadi-Rangsit Road, Chomphon, Chatuchak, Bangkok 10900, Thailand Tel : +66 2 263 6082 or +66 2 263 6218 e-mail : oca@sec.or.th Root cause analysis Activities for enhancing audit quality Suggestions on how to...
Activity Report 61En INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2018 INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2018 Executive Summary....................................................................................02 Quality Assurance Review Panel........................................03 Activities for Enhancing Financial Reporting Quality.................................................................................................07 Summary of Audit Inspection Results A. Firm-Le...
economic environment may also have an adverse impact on Group sales. Any failure in the Group's efforts and strategies to maintain the strength of the Brand in the face of adverse macroeconomic or
Bank of Thailand issued Circular No. ForKorNgor. (21) Wor.1759/2560 Re: Relaxation of Rules and Practices for Measures to Prevent Thai Baht Speculation for the Case of Failure to Deliver Securities via
ความปลอดภัยทรัพย์สิน (Damage of Physical Assets) 6. ความเสี่ยงจากความขัดข้อง หยุดชะงักธุรกิจ และระบบคอมพิวเตอร์ (Business Disruption and System Failure) 7. ความเสี่ยงจากการปฏิบัติงานและการให้บริการ
including in the case of force majeure or necessary ground for failure to provide services; (b) conditions for fund switching from one to another mutual fund that has a similar investment policy in case of
UNOFFICIAL TRANSLATION Codified up to No. 6 As of 12 April 2019 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 35/2557 Re: Rules in Detail on Communication with and Providing Services to Clients of Securities Companies and Derivatives Intermediaries ______________________ By virtue of Section 98(6) of the Securities and Exchange...
UNOFFICIAL TRANSLATION Codified up to No. 6 As of 12 April 2019 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 35/2557 Re: Rules in Detail on Communication with and Providing Services to Clients of Securities Companies and Derivatives Intermediaries ______________________ By virtue of Section 98(6) of the Securities and Exchange...
assets) 6. ความเสี่ยงจากความขัดข้อง หยดุชะงักธุรกิจ และระบบคอมพิวเตอร์ (business disruption and system failure) 7. ความเสี่ยงจากการปฏบิัติงานและ การให้บริการ (execution, delivery and product management