opinion by an auditor approved by the Office, and such auditor must not be a director, staff member or employee of such securities company. The auditor of the private fund must adhere to the code of conduct
clarity and more confidence that securities firms will adhere to international standard guidelines and effectively prevent inappropriate actions. ________________________
considered a fundamental duty that listed companies should adhere to under the law. The SEC has therefore amended the relevant regulations to repeal the filing fee reduction for the annual registration
offer for sale of baht bonds, the foreign entity issuer must obtain an approval and adhere to the obligations specified by the Ministry of Finance. However, given the changing contexts and landscape of
, liability of listed company will rise.??Investment analysts must adhere to professional standards and exercise due care when giving advice or opinion with impact on investment decision. Their opinion should
seller were deemed as failure to perform duties with honesty and to adhere to the professional ethics and standard of conducts for the capital market personnel. The said actions were in violation of Clause
February 2018.The new set of ?Standards of Qualifying CIS? which fund managers under the ASEAN CIS Framework have to adhere to can be found at http://www.theacmf.org/ACMF/upload
for making their own trading decision to prevent embezzlement and misappropriation of their assets. Importantly, investment consultant must perform the duty honestly, adhere to professional standards
with higher sales. Gross profit margin as percentage of sales improved from 6.5% in Q2 2018 to 7.7% in Q2 2019 even when there was higher staff expenses to adhere to the changes in the Labor Protection