SEC requests that business operators implement the BCP that must cover key work systems, including the trading system, the risk control system in compliance with the Net Capital Rules and the investment management system. This includes providing a communication channel that facilitates notifying and clarifying information to clients in case of major changes to service provision.“After continuous monitoring and coordinating with the business operators, we have found that they have implemen...
high-technology products, an increase in price of the Company’s core raw material, copper foil, due to an unbalanced demand/supply in the market, as well as the appreciation of the THB in a short period
handle their complaints sufficiently and efficiently while protecting the clients’ best interest. ____________________
business sector’s awareness and readiness to handle cyber threats, with guest speakers, i.e., Pol. Col. Naughtakid Phromchan, Director of the Operations Office, Thailand Computer Emergency Response Team
, the unbalanced panel data are composed of 3,427 firm-year observations in total. Descriptive statistics of variables are reported in Table 2. All variables in the dataset are positive and most of them
Pursuant to the existing regulations on standard conduct of business, a securities and derivatives business operator intending to have a third party handle its partial business functions may do so in
website: www.globalinvestments.net and www.Qropdirect.com to lure investing public that it had a team of experienced and expert investment consultants to handle suitable portfolios for investors through
handle suitable portfolios for investors through different company names such as Global Investments Far East Limited and Global Investments International Limited. The aforesaid person jointly operated
Sheet, 2013). The equation 6.1 and 6.2 have been test for the asymptotic of the model as follows; 1. Test of stationarity through Maddala - Wu Test for unbalanced panel reveals that the sample data is
appropriate trainings and experiences. Opportunity for career advancement The SEC’s past inspections suggested that some audit firms had difficulties implementing their succession plan due to their unbalanced