undertake derivatives business in the category of derivatives brokerage. “assets of client” means: (1) assets which a derivatives broker receives or holds as collateral for satisfying obligations under
company who fails to perform his duties with responsibility, due care and loyalty.) Section 305 (Person who damages, destroys, conceals, any property or document which the competent officer has seized
service under this Ministerial Regulation, the competent officer shall, upon the applicant’s consent, enter into the applicant’s place of business or premises or any place necessary for inspecting the
พึงกระทำ (6) ความพร้อมของบุคลากร (competent staff readiness) ผู้ประกอบธุรกิจต้องจัดให้มีบุคลากรที่มีความสามารถและเหมาะสมในจำนวนที่เพียงพอต่อ
increasing the efficiency of legal enforcement and investor protection and establishing a proactive policy to increase competent auditors in support of potential increase in the number of listed companies
key management positions and business strategies in order to enhance efficiency and growth. Under new structure, UWC shifted the focus from less competent business such as renewable energy to Steel
changing in many key management positions and business strategies in order to enhance efficiency and growth. Under new structure, UWC shifted the focus from less competent business such as renewable energy
the firm’s audit manual and audit procedures, the lack of understanding in requirement of relevant standards, the lack of competent and skillful personnel, and the inappropriateness of internal