operate the computer system correct, consistent and efficiently that having content cover guideline for computer operation such as oversee of operational computer system, problem management, and controlling
cooperated with the Association of Securities Companies in its issuance of the code of conduct on relationship with clients. Brokers must closely monitor clients’ trades and ensure the quality of advice given
supervise and ensure fair treatment for retail and SME customers will pose a heightened challenge to banking performance. To cope with these issues, commercial banks may have to fine-tune their strategies
evidence during a planning phase and a substantive test phase, especially in the audit of revenue, risk assessment and response to the risk of fraud. In this regard, the SEC will support and closely monitor
Securities and Exchange Act B.E. 2535, with a mission to develop and supervise the Thai Capital Market to ensure efficiency, fairness, transparency, and integrity. In order to maintain fairness in the Capital
will closely coordinate with the SET to monitor stock trading activities and solve the problem in advance. Another aspect of the supervisory task is to improve risk management procedures of securities
-functioned accounting department, equipped with competent staff, as well as a seasoned and independent audit committee to oversee the process. As the function that originates all types of the financial
risk management. 4. There should be an establishment of a compliance unit to supervise and monitor the operation that is independent from the management and other units. 5. Operation conducted with
company by taking into account the appropriateness and acceptable risk level. The securities company should specify the details on the designation or approval for such action clearly in writing, and monitor
company by taking into account the appropriateness and acceptable risk level. The securities company should specify the details on the designation or approval for such action clearly in writing, and monitor