post issuance reviews of selected engagements as part of its monitoring procedures? If yes, please provide us engagements review program and the scope of the review. B Evaluating, Communicating, and
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 performance of
analysis of securities value; (e) Knowledge on enhancement of supporting skills or level of service quality to customers (soft skills) such as customer advising technique, etc. 2.2 Knowledge on rules
all services performed for clients, including services performed by entities closely aligned through common employment and other means, and evaluating whether any of those services might impair
) มาตรการ/เครื่องมือที่จะช่วยในการลดความเสี่ยง · ในกรณีที่จำเป็นจะมีมาตรการ/เครื่องมือที่ใช้ช่วยลดความเสี่ยงได้อย่างไร เช่น netting agreement หรือ credit enhancement ต่าง ๆ เช่น การจัดให้มีหลักประกัน หรือการ
(Translation) PAGE 112 (Translation) Securities and Exchange Act B.E. 2535 (As Amended) _________________ BHUMIBOL ADULYADEJ, REX., Given on the 12th day of March B.E. 2535; Being the 47th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law on the securities and exchange; Be it, therefore, enacted by His Majesty the King, by and with the advice and consent of the National Legislative Assembly functioning as...
risks; (3) Employees communication and training on policies and guidelines for anti-corruption; (4) Guidelines for monitoring and evaluating the implementation of the anti-corruption policy; (5) Review of
) Guidelines for monitoring and evaluating the implementation of the anti-corruption policy; (5) Review of adequacy and completeness of the anti-corruption process by the audit committee or the SEC-approved