Bangkok, September 25, 2014 - The SEC organized ?3rd SEC Working Papers Forum?, jointly with the Faculty of Business Administration and the Faculty of Management Sciences, Kasetsart University presented three research papers on ?Listed Company Assessment?. Dr. Vorapol Socatiyanurak, SEC Secretary-General said that the third SEC Working Papers Forum, organized under the MoU with four leading business schools aiming to provide a platform for capital market research presentation and implementation....

, how does the firm inform its personnel or what kind of process that the firm use to ensure that its staff evaluate clients risk? 5 Regarding integrity checks does the firm’s conduct, for example

and continuance of client policies and procedures? If yes, mode of communication. If no, how does the firm inform its personnel or what kind of process that the firm use to ensure that its staff

while in fact the person had received investment advice from another Kasikornthai employee who was not an approved investment consultant. {B}, the manager of the branch where the client received

rating process. IOSCO members recognize that credit ratings, despite their numerous other uses, exist primarily to help investors and other users of credit ratings assess credit risks. Maintaining the

Communications with relevant persons (7) Division 7 Cross-border communication (8) Division 8 Companies shall test and assess the BCP (Training, Exercising and Auditing) (9) Division 9 Examples of emergency

) Division 7 Cross-border communication (8) Division 8 Companies shall test and assess the BCP (Training, Exercising and Auditing) (9) Division 9 Examples of emergency incidents which may cause major

28.8 MB, increased from Q2/2019 in the amount 10.3 MB, or 55.85 percent (18.4 MB in Q2/2019) as result from employee expense, provision for obsolete product and the impact from the Thai Financial

investors and other users of credit ratings assess credit risks. Maintaining the independence of CRAs vis- à-vis the entities and obligations they rate is vital to achieving this goal. Provisions of the IOSCO

, decrease of other current liabilities by 2.2 MB, increase of Lease Liabilities by 9.7 MB, and the increase in employee benefit obligations by 1.0 MB.  Shareholders' Equity As of March 31, 2020, the Company