intermediary; “executive” means a manager and a person responsible for control, supervision and management of the business units relating to investment advice, investment planning, analysis of investment or
financial reporting system and promote sustainable growth of the capital market. Regarding the supervision of audit quality, the SEC found that the inspection results of audit firms’ quality control system
............................................................ B. Engagement Level ............................................... Root cause analysis and examples of action plans to improve the quality control system .................. Our Focus for the Third
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 18. In order to protect customers, maintain stability of the financial system or control the risks arising from derivatives, the SEC shall
, derivatives fund manager, investor contact and derivatives investor contact shall receive an approval from the SEC Office and whereas the flood catastrophe may cause obstacle and inconvenience to such persons
: Operational Control and Security for Information Technology of a Licensed Derivatives Broker. By virtue of the second paragraph of Clause 7 of the Notification of the Securities and Exchange Commission No
Securities and Exchange Commission No. SorThor. 8/2548 Re: Operational Control and Security for Information Technology of a Licensed Derivatives Broker. By virtue of the second paragraph of Clause 7 of the
, hereby certify and consent to the followings: 1. I certify that the audit firm has audit quality control system which is sufficient and reliable for supervising its auditors’ work to comply with the
creditor (the purchaser) agrees with the subsidiary to rent such asset for further business operation. The subsidiary has considered the rental conditions, the rental price including the ability to control