facts which, in general, shall be considered from- (a) period and frequency of unlawful act; (b) such unlawful act indicated deficiency in operational or internal control system and such operational or
. 2.2.4 Compliance control and audit measures for the application of the conflict of interest policies and procedures. 2.2.5 An effective whistle-blowing policy. 2.2.6 Regular review of the appropriateness
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
new trustee shall file a motion with the court to issue an order to declare that the new trustee has been fully vested with the trust property. In cases where the former trustee or the surviving trustee
undertake the actions within the period specified in the previous paragraph, the new trustee shall file a motion with the court to issue an order to declare that the new trustee has been fully vested with the
control system; (2) reviewing the financial report and financial information of the Office; (3) coordinating with the Office of the Auditor General of Thailand in the matter of auditing the financial
Machine automation, Industrial motion system, Smart sensor system and Lighting automation for building. Sales revenue structure by BU/BG In 2017, consolidated sales revenues were slightly increased, 5.1
: 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