หัวข้อ due diligence หน้า 1 บทนำ ในการจัดเตรียมข้อมูลของบริษัทมหาชนจำกัดเพื่อให้มีความพร้อมในการออกและเสนอขายหลักทรัพย์ต่อประชาชน ที่ปรึกษาทางการเงินจะต้องศึกษาข้อมูลของบริษัทที่ออกหลักทรัพย์หรือที่
(2) non-audit fee In disclosing non-audit fees, specify the types and amounts paid during the previous accounting period and those due in the future for the services unfinished within the period
quartered ended Name of auditor Name of audit firm ( Audit of financial statements ( Review of financial statements · 1 . Clean opinion · 2 . Qualified opinion due to (select all that apply) ( 2.1 The auditor
shareholders due to the mutual fund or NVDR issuers not exercising the voting right at the shareholders’ meeting. 1.5 Issuance of other securities 1.5.1 In the case where the Company issued convertible
following categories: (1) audit fee (2) non-audit fee In disclosing non-audit fees, specify the types and amounts paid during the past accounting period and those due in the future for the services unfinished
policy and risk management that may be related to money laundering of clients, and to undertake client due diligence upon initial transaction and periodical review until the account is closed or the
its business with honesty, fairness and integrity by strongly being concerned about the market integrity as a whole; (2) skill, care and diligence An intermediary shall conduct its business with due
derivatives position before the settlement date, whether due to market lack of liquidity or the derivatives exchange withholds the futures trading or due to any other reasons, the investor may lose from the
notification is due to the fact that at present securities companies are allowed to make offshore investment which contains higher risks than domestic investment in such areas as foreign exchange rate risk