of all considerations and justification where firm chooses to safeguards against rather than eliminate a threat; · prohibit audit team members from making or assuming responsibility for management
หุ้น หมายความถึง ผู้รับประโยชน์จากหุ้นตามที่กำหนดในมาตรา 25 วรรคสี่ “โลหะมีค่า” หมายความว่า ทองคำ เงิน (silver) หรือแพลทินัม
, procedures, and controls established, maintained, documented, and enforced by the CRA. A CRA should prohibit retaliation by the CRA or an employee against any employees who, in good faith, make such reports. 2
20T H ANNIVERSARY 1 Securities and Exchange Commission, Thailand Annual Report 2012 SEC ANNUAL REPORT 20122 THE YEAR OF CHANGE The year 2012 was the time for change to become the visionary partner whose balance between proactive and preventive approaches has led to stakeholders’ confidence in the Thai capital market. THE YEAR OF CHANGE 20T H ANNIVERSARY 1 02 MESSAGE FROM THE CHAiRMAN 04 MESSAGE FROM THE SECRETARY-GENERAl 06 SEC BOARd 09 CApiTAl MARkET SupERviSORY BOARd 12 ExECuTivE OFFiCERS 13 O...
shall prohibit such personnel from providing services to clients regarding investment in capital market products denominated in foreign currency . Notified this 17th day of January 2017. (Mr. Rapee
, the intermediary shall prohibit such personnel from providing services to clients regarding investment in capital market products denominated in foreign currency. Notified this 17th day of January 2017
the specified period, the intermediary shall prohibit such personnel from providing services to clients regarding investment in capital market products denominated in foreign currency . Notified this
fail to attend such training course within the specified period, the intermediary shall prohibit such personnel from providing services to clients regarding investment in capital market products
fail to attend such training course within the specified period, the intermediary shall prohibit such personnel from providing services to clients regarding investment in capital market products
derivatives agents to restrict or prohibit a client from acquiring further position, to close its trading accounts or to liquidate his/her position if the client’s derivatives transactions have or may have