undertake securities business; “Office” means the Office of the Securities and Exchange Commission. Clause 2. A securities company shall provide policy and regulation on operational control and information
) allocate sufficient resources and budget to persons who relate to any operation in compliance with such policy and plan; (2) provide a measure to control and monitor operation under such policy and plan
) allocate sufficient resources and budget to persons who relate to any operation in compliance with such policy and plan; (2) provide a measure to control and monitor operation under such policy and plan
objectives. Questions Yes No. 5.1 The board of directors and executives have procedures and communication tools to enforce all employees to take responsibilities in internal control and to provide corrective
29 percent of shares of NYKT (“NYKT Shares”) from Artlion Development Limited (“ArtLion”) which is a subsidiary of and under the control of NYK Group. The purchase of NYKT Shares is regarded as a
control system at the firm level and the individual engagement level, the SEC encourages all stakeholders to attain a better understanding and awareness of their roles within the ecosystem, from the
. The Bangchak refinery adjusted its operation hours for employees operating in shifts to coincide with curfew measures, and has confined the perimeters of the Control Room building to provide an entryway
2013-2015 37 kEY ACHiEvEMENTS 46 THE 20TH ANNivERSARY HiGHliGHTS 48 TwO dECAdES OF THE THAi CApiTAl MARkET dEvElOpMENT AppENdiCES 54 STATiSTiCAl HiGHliGHTS 79 REpORT OF THE SEC BOARd ON iNTERNAl CONTROl
. However, improvements in the following areas would provide additional reinforcement to the firms’ quality control. The SEC expects audit firms to improve their risk assessment on client acceptance and
), which is presented as a separate annex. What is corporate governance? Corporate governance refers to the structures and processes for the direction and control of companies. Corporate governance concerns