Facebook Page ชื่อ Stocks Are Not Difficult : Unlicensed securities and derivatives business (Disclosure Date : 22/01/2024)
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...
Facebook Page ชื่อ Stocks Are Not Difficult - ยังไม่ได้รับใบอนุญาตธุรกิจหลักทรัพย์/สัญญาซื้อขายล่วงหน้า (วันที่เปิดเผยข้อมูล : 22/01/2567)
, the SEC deems it necessary for the audit firms to be self-reliant, which always starts with an adequate supply of competent audit staff who possess thorough understanding of both accounting and auditing
consultations are performed for difficult or contentious matters? If yes, please describe the responses to quality risks to the following questions. - Have the conclusions reached been implemented? If they were
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information could stimulate trust and confidence in the capital markets, which would in turn sustain long-term economic growth in Thailand. Striving to achieve such quality, it is necessary that all parties
, professional advisers (such as external auditor), and information relevant and necessary to perform their duties. 6.2.4 The board should ensure the designation of an internal auditor or establish an independent