prohibition, however, will not apply if excess holding is not resulted from making additional investment, providing that asset management company must arrange to have appropriate measure to prevent other
required to have inclusive measure to prevent conflicts of interest. In addition, permissible securities trading will be limited to that executed with a view to managing risks associated with issuance of
to have inclusive measure to prevent conflicts of interest. In addition, permissible securities trading will be limited to that executed with a view to managing risks associated with issuance of
, additional measure is not required at this stage.
(approximate) Spending Duration (approximate) Details/Spending Progress/ Reason(s) and Measure(s) in Case of Failure to Comply with the Spending Objectives 1. To acquire assets or invest in a business related to
securities2. Spending Objectives Amount of Spent Money (approximate) Spending Duration (approximate) Details/Spending Progress/ Reason(s) and Measure(s) in Case of Failure to Comply with the Spending Objectives
without subject to regulations of this Notification. Clause 6 In this Notification: (1) “audit firm” means an audit firm where an auditor is attached and conduct audit work for; (2) “financial institution
results Sort by: Relevance Date (Newest) Date (Oldest) QAQR-06.xlsx institution, insurance, construction, digital assets ) obtain/maintain the required specialist knowledge? Does the firm have special
relationships between the firm, principals or staff or their family members and the audit client or its affiliates? e.g. joint ventures, joint property interests etc. 2 https://www.sec.or.th/TH/Documents/Auditor