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...
) That is aimed at cooperation, and (ii) That is clearly aimed at profit or cost-sharing or shares common ownership , control or management, common quality control policies and procedures, common https
) That is clearly aimed at profit or cost-sharing or shares common ownership , control or management, common quality control policies and procedures, common https://publish.sec.or.th/nrs/6561p.doc หนังสือ
structure: (i) That is aimed at cooperation, and (ii) That is clearly aimed at profit or cost-sharing or shares common ownership, control or management, common quality control policies and procedures, common
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(Oldest) SEC Search =electronic possession OR "electronic possession" OR " electrical ownership" OR " electrical control " OR "digital ownership" OR "digital control "&wt=json&indent=true&facet=true
=electronic possession OR "electronic possession" OR " electrical ownership" OR " electrical control " OR "digital ownership" OR "digital control "&wt=json&indent=true&facet=true&facet.field=key_filetype https
"electronic possession" OR "electric ownership" OR "electric control" OR "digital ownership" OR "digital control"&wt=json&indent=true&facet=true&facet.field=key_filetype&facet.field=key_sitemap&facet.field
ownership, control or management) 3. กิจการที่อยู่ภายใต้นโยบายและวิธีการควบคุมคุณภาพ เดียวกันกับส านักงานสอบบัญชี (Has common quality control policies and procedures) 4. กิจการที่อยู่ภายใต้กลยุทธ์ทางธุรกิจ
costs and proportionate ownership, control or management power, have commons quality control system, business strategies, shared names or shared significant professional resources. The related parties or