Beyond Liberty Company Limited : Unlicensed securities and derivatives business (Disclosure Date : 22/04/2014)
Beyond Liberty Company Limited : Unlicensed securities and derivatives business (Disclosure Date : 22/04/2014)
Has the firm at least annually obtained written declarations on compliance with the firm’s independence policies and procedures from all firm personnel? 9 Does the firm have Confidentiality Declaration
independence policies and procedures from all firm personnel? 9 Does the firm have Confidentiality Declaration from all its employees? 10 Are there procedures to ensure that any external consultant involved in
confidentiality and data protection. The SEC has put in place internal procedures to ensure that its exercise of powers and duties are consistently applied. Operational Risk Management The SEC has developed its
group Insufficient compliance testing to ensure both independence and confidentiality where the audit staff providing assurance services in their own capacity 3. Client acceptance and continuance
must report to the Board on any circumstances that may give rise to conflicts of interest and should always avoid any actions that may cause conflicts of interest; ë Confidentiality: The SEC Board
Annual Report 2001 A N N U A L R E P O R T 2 0 0 1 S E C U R IT IE S A N D E X C H A N G E C O M M IS S IO N & O F F IC E O F T H E S E C U R IT IE S A N D E X C H A N G E C O M M IS S IO N , T H A IL A N D SECURITIES AND EXCHANGE COMMISSION, THAILAND OFFICE OF THE SECURITIES AND EXCHANGE COMMISSION, THAILAND ANNUAL REPORT 2001 SECURITIES AND EXCHANGE COMMISSION, THAILAND OFFICE OF THE SECURITIES AND EXCHANGE COMMISSION, THAILAND 10th and 13th-16th Fl. Diethelm Towers B, 93/1 Wireless Road, Lump...
E_1 Legal_FA_2015_12_29-c A CorpL4.1hig A Executive Summary of Management Discussion and Analysis 1 For the Year Ending December 31, 2019 Thai economy in 2019 showed decelerating growth at 2.4 percent compared to 4.2 percent in the previous year.The slowdown could be attributed to exports which contracted further due to the stronger Baht and a global economic slowdown. In addition, the investment environment of both the public and private sector remained weak, and private consumption, albeit gro...
Annual Report 2010 ANN UAL REPORT 2010 SECURITIES AND EXCHANGE COMMISSION, THAILAND ASEAN ECONOMIC COM MUN ITY Vision S = Setting High Standard E = Ethical C = Committed Pro = Professional Mission Core value: SEC-Pro The SEC develops and supervises the Thai capital market to ensure efficiency, fairness, transparency and integrity. The SEC is to establish the Thai capital market as an important alternative for investors and fund raisers with an efficient mechanism for investor empowerment and, in...