conduct; (6) competent staff readiness An intermediary shall provide the competent personnel with the suitable amount for the business operation, and shall supervise its personnel to perform duties in
maintain substantial and adequate financial resources continuously; (5) market conduct An intermediary shall undertake business in keeping with proper standards of market conduct; (6) competent staff
. Assigning competent audit staff to each engagement as required by auditing standards and determining performance evaluation criteria to reflect performance quality could help improve the deficiencies; (3
management companies.Now, SEC has drafted regulations covering various topics, such as that investment management companies must present multiple investment policies, which must also be in conformity to the
management companies. Now, SEC has drafted regulations covering various topics, such as that investment management companies must present multiple investment policies, which must also be in conformity to
Connected Transaction of Ocean Commerce Public Company Limited (Enclosure), and the interested director, namely, Mr. Uchai Vilailerstpoca, was neither present nor eligible to vote on this agenda item. In this
violation The SEC Office issues an administrative order to enforce any regulated person. The SEC Office presents the case to the competent authority. End Administrative Order Issuance Administrative Sanction
expansion to new countries i.e. Brunei, Qatar. As well as, the expansion into new products i.e. Condensates, MTBE. Moreover, BCP Trading also earned extra revenue from proficient logistics management, and
auditing of financial statements, which is under the present accounting standards and accounting professions' ethics. The objective of such requirement is also to report such misconduct to regulatory bodies
auditing of financial statements, which is under the present accounting standards and accounting professions' ethics. The objective of such requirement is also to report such misconduct to regulatory bodies