Interpretation • [All] One-standard deviation increase in paper loss would raise risk-taking by 13.79% • [Low-Risk Group] One-standard deviation increase in paper loss would raise risk- taking by 10.49% • [High
ICO, the SEC would like to further raise the following issues for public consultation. Please note that our public consultation will be extended to December 15, 2017. To send your comments and
demand the communication with concerned parties and gradually resolve the findings. As such, the SEC will continue to raise the issues recommending the firm to devise additional remediation plan as follows
2018 and 2019 were 18.9% and 17.6% , respectively. This assumed that the Company could handle more effective at controlling employee’s remuneration, traveling expenses, and infrastructure expenses
) storing document and evidence in relation to the customer complaint and the proceedings to handle such complaint for no less than five years from the date the derivatives broker completes its consideration
) storing document and evidence in relation to the customer complaint and the proceedings to handle such complaint for no less than five years from the date the derivatives broker completes its consideration
purposes. As a result of the Covid-19 outbreak, businesses had less cash-in-hand and were unable to raise funds from bond and capital markets as per the normal situation. The improvement in loan demand was
featured stylized flames in red and white. (H including handle 18 cm) S h a p i n g t h e T h a i C a p i ta l M a r k e t Securities and Exchange Commission, Thailand 04 Message from the Chairman 06 Message
session on those audit manual and audit procedures. • The audit firm should establish monitoring process and raise observations to staff who did not comply with the firm’s audit manual and audit procedures
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