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...
การขายชอร์ตและการส่งมอบหลักทรัพย์ เพื่อการบริหารความเสี่ยงจากการทำหน้าที่เป็นผู้ดูแลสภาพคล่อง (market maker)ของบริษัทหลักทรัพย์ และการจัดการทรัพย์สินลูกค้าเมื่อเกิด internal short
the person who will become the mutual fund supervisor; (2) relationship between the mutual fund supervisor and the securities company; (3) arrangement of organizational structure and internal controls
reviewing the adequacy of the internal control at least once a year. Extra revision may be necessary in case of any incidents which have significant impacts on the companies’ operations. Such assessment
. SEC Classification : ใชภ้ายใน (Internal) FORM 56-1 One Report (Attached to Notification No. Tor Jor. 55/2563) Applicable to the Financial Year Ending 31 December 2021 onwards Annual Registration
, executives, employees and others 8. Report on key operating results related to corporate governance 28 9. Internal control and related party transactions 33 Part 3: Financial Statements 36 Part 4
warehousing cycle: From the lack of documentation, it was believed that an auditor did not obtain the necessary understanding of a company’s internal controls related to the inventory and warehousing cycle
necessary measures in this area, e.g. asset management companies and financial institutions that sell mutual fund investment units were to disclose foreign exchange risk of foreign investment funds (FIF) more
the internal control system; (2) reviewing the financial report and financial information of the SEC Office; (3) coordinating with the Office of the Auditor General of Thailand in the matter of auditing