_____________________________________________________________________ Remark: The reason for issuing this Notification is to administer financial institutions which are licensed to undertake securities borrowing and lending business to hold custody of clients’ assets
_____________________________________________________________________ Remark: The reason for issuing this Notification is to administer financial institutions which are licensed to undertake securities borrowing and lending business to hold custody of clients’ assets
Notification, of an applicant, directors, managers and administer directors including deputy managers, assistant managers, department directors and other persons with different titles but hold similar positions
ขายที่เข้มข้นขึ้น เช่น การเพิ่มเหตุแห่งการขึ้นเครื่องหมาย C (caution) เพื่อสะท้อนว่าบริษัทจดทะเบียนมีเหตุการณ์ที่อาจส่งผลกระทบต่อฐานะการเงินและการดำเนิน ธุรกิจของบริษัทจดทะเบียน เช่น กรณีขาดทุนสุทธิ 3
) having internal control system which is approved by high-level management. In this case, such system shall; (a) generate good control environment; (b) assess, administer and manage any risks which arise or
, administer and manage any risks which arise or may arisen from conducting business to be at a controllable level which have no impact on undertaking of fund management; (c) determine efficient control
of responsibility or caution, or reflecting unfair or incredible manner, except where it is proper, the Minister upon the SEC’s recommendation may give a waiver of such disqualified characters to such
credit rating information selection with responsibility and caution (fiduciary duties) and shall not make credit rating information selection which may cause assets of clients to be in a condition of low
credit rating information selection with responsibility and caution (fiduciary duties) and shall not make credit rating information selection which may cause assets of clients to be in a condition of low
for Bangkok real estate business in 2019 and necessity to increase caution in business operation, the management maintain positive view over luxury condominium1 market, appraising from sales volume of