derivatives exchange; “derivatives clearing house” means an entity licensed to operate business as a derivatives clearing house; “personnel in derivatives business” means: (1) a person who assumes a job for the
. • Increased shared service centers used by large engagements and international groups • Revenue recognition • Internal controls over financial reporting : auditors too often are not identifying appropriate
translation is strictly for reference. Notification of the Office of the Securities and Exchange Commission No. Sor Lor Thor. 8/2557 Re: Approval of Personnel in the Capital Market Business ___________________
duties of a sub-committee; (4) the issuance of rules, orders and regulations relating to personnel, personnel relations system, placement, appointment, dismissal and discipline for personnel and employees
Commission No. SorKhor. 39/2554 Re: Extension for Period of Approval and Filing Application for Approval of Extension of Personnel in Capital Market Business in Special Circumstances Whereas the first
risk scoring within the firm based on the shared scoring matrix. Also, some firms deploy the system to analyze whether the information provided by the personnel is adequate with the proper supporting
standards and relevant regulations as well as being communicated to the personnel. Moreover, the inspection results of individual audit engagements in 2017 showed that the overall audit quality had improved
indirect connection to the organization’s internal network systems; 4 “cloud computing” means a type of internet-based computing that provides shared computer processing resources and data on demand
provide more flexibility to Thai securities companies who request the personnel of foreign business operators to provide investment advices on foreign products to Thai investors. The proposed revisions
transactions (particular risks might arise when multiple users access a common database); • The possibility of IT personnel gaining access privileges beyond those necessary to perform their assigned duties