pursue skill and knowledge enhancement on a regular basis to be able to handle ever-increasing innovations in the securities business. This will not only benefit investor contacts in their performance of
market will pursue skill and knowledge enhancement on a regular basis to be able to handle ever-increasing innovations in the securities business. This will not only benefit investor contacts in their
investor contacts who play vital roles in the capital market will pursue skill and knowledge enhancement on a regular basis to be able to handle ever-increasing innovations in the securities business. This
for the 3rd quarter of Year 2018 and 2019 were 19.9% and 15.5%, respectively. This assumed that the Company could handle more effective at controlling employee’s remuneration, traveling expenses, and
assumed that the Company could handle more effective at controlling employee’s remuneration, traveling expenses, and infrastructure expenses. Financing Costs The financing costs of financial institutions
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...
and special investigation against possible contravention or malpractice ë Handle complaints against misconduct ë Set approval standards to ensure that related persons are fit and proper ë Set standards
Asia, and to be able to contribute towards providing investors and businesses in Asia with clarity, insights and tools to support their contribution towards achieving the SDGs. The launch of the Thailand
of Intermediary to Handle Clients’ Complaints and participation in the SEC Office’s project to resolve disputes by arbitration. 4.3 Having a business plan and an operating system for establishing a
intermediaries is available here . ● A claim for damages should be made directly to the compliance unit of the company in charge; otherwise, a civil lawsuit is an option. The SEC has no authority to handle a