knowledgeable, capable or experienced and who are beneficial to the undertaking of the derivatives brokerage business in a sufficient number to accommodate the undertaking of the derivatives business in an
the termination will significantly reduce future costs. In addition, the Group has personnel who are knowledgeable and capable enough to be ready to carry out the tasks themselves. Finance costs For the
Activity report 2017En CAPITAL MARKET FOR ALL INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2017 INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2017 Executive Summary Quality Assurance Review Panel Activities for Enhancing Financial Reporting Quality Framework and Focuses in 2018 Root Cause Analysis Summary of Audit Inspection Results A. Firm Level B. Engagement Level Essential Statistics 49 4412 46 0402 07 Contents Executive Summary The capital market is a fundamental component in driving Thai...
) to clients; (3) visibly reveal the redemption prices; (4) control and monitor any employee who gives the information thereof to clients for correctness and accuracy. Chapter 5 Sending out Transaction
shall be opened for service at least throughout the working hours of the intermediary. (2) promote or dessiminate information on the arrangement under subclause (1) to clients; (3) visibly reveal the
shareholders leading to the low free float. The descriptive statistics reveal that the return of holding these stocks is impressive by their dividend payment. In the past few years, the Securities Exchange
and then leave when markets are not as attractive as gambling. The results reveal that regulation will unlikely be significant in determining GR investors to participate in the markets once the markets
supplementing the decision to invest, the investor should study in detail before making investment decision; (4) providing knowledgeable and expert personnel to explain the information on mutual fund rating upon
investment returns for clients, including through adopting of a Statement of Corporate Values. 2.1.3 Employing knowledgeable and capable staff and implementing an employee compen- sation architecture
of knowledgeable and competent personnel. The firm should immediately identify and resolve the issues. The evaluation result in the year 2016 suggest that the firms with low turnover rate will have