worked for Country Group), had used incomplete Customer Confirmation and Portfolio reports in substitution for order tickets. Their actions were deemed as failure to record the customers? securities

servicing clients who want to reclaim their assets and will lay off all employees,SEC found out that clients’ digital assets which remained under control or in possession of BX were transferred thereafter

from insufficient involvement of engagement partners and engagement quality control reviewers (EQCRs) and incomplete audit manuals as required by quality control standard. Findings by respective average

), which is presented as a separate annex. What is corporate governance? Corporate governance refers to the structures and processes for the direction and control of companies. Corporate governance concerns

2013-2015 37 kEY ACHiEvEMENTS 46 THE 20TH ANNivERSARY HiGHliGHTS 48 TwO dECAdES OF THE THAi CApiTAl MARkET dEvElOpMENT AppENdiCES 54 STATiSTiCAl HiGHliGHTS 79 REpORT OF THE SEC BOARd ON iNTERNAl CONTROl

- management software, access- control software). Data Conversion Data conversion introduces errors if the conversion transfers incomplete, redundant, obsolete, or inaccurate data. 17 Data Center and Network

the valuation results to recognize an investment amount of Baht 8,231 million and the gains from loss of control in Pace One and Pace Three of Baht 8,857 million.A use of reasonable assumptions in the

presentation of the investment amount and the gains from loss of control in subsidiaries. In addition, the information disclosed in its Q2 and Q3/2017 financial statements were incomplete and ambiguous, which is

Rules, Conditions and Procedures for Operational Control in Underwriting of Securities (No. 2)

Re: Operational Control and Information Technology Security of Securities Companies Whereas in these days securities companies widely accept information technology as an instrument for securities