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Facebook Page ชื่อ Trading DIARY 888 : Unlicensed securities and derivatives business (Disclosure Date : 29/08/2024)
Bangkok, May 19, 2015 ? The SEC suspended {A}, a capital market investment consultant of Apple Wealth Securities PCL, for failure to keep complete record of the securities trading orders. The SEC
former consultant of Bualuang Securities PLC., for failure to completely record client's securities trading orders. Following a report from Bualuang Securities PLC., the SEC further probed into the case
Facebook Page ชื่อ Trading DIARY 888 - ยังไม่ได้รับใบอนุญาตธุรกิจหลักทรัพย์/สัญญาซื้อขายล่วงหน้า (วันที่เปิดเผยข้อมูล : 29/08/2567)
Audit Firm’s record - Normal
Applicant’s personal record and audit firm’s record – fast track
). Time-varying rare disaster risk and stock returns. Journal of Financial Economics, 101(2), 313–332. Bernanke, B. S. (1983). Irreversibility, uncertainty, and cyclical investment. The Quarterly Journal of
records. Application controls are relevant to procedures that are used to initiate, record, process, and report transactions or other financial data. They can be designed to be both preventive and detective
controls such as customers’ record checks and the cash collection system. 19 Independent Audit Inspection Activities Report for the 1ST cycle 1 October 2010 - 31 December 2012 Example 9 : In order for an