หัวข้อ due diligence หน้า 1 บทนำ ในการจัดเตรียมข้อมูลของบริษัทมหาชนจำกัดเพื่อให้มีความพร้อมในการออกและเสนอขายหลักทรัพย์ต่อประชาชน ที่ปรึกษาทางการเงินจะต้องศึกษาข้อมูลของบริษัทที่ออกหลักทรัพย์หรือที่
mutual fund under (1)(a), a warning statement: “in case that the mutual fund is unable to make the investment as prescribed due to changes in the market’s condition, unitholders may not receive the return
: (a) in case of mutual fund under (1)(a), a warning statement: “in case the mutual fund is unable to make the investment as prescribed due to changes in the market’s condition, unitholders may not
with the Bankruptcy Law , and for the payment of expenses to the SEC Office in accordance with Section 130 of the Bankruptcy Act B.E.2483 (1940) as deemed appropriate in due course. Notified this 18th
in derivatives by using its ability to fully protect and maintain the best interest of the customer on the basis of integrity, prudence and due care. Clause 7. In case the derivatives fund manager will
and coins holding by the company, including miscellaneous cash, money orders, postal bills, due cheques still have not yet been deposited, travelers’ cheque s and bank drafts 2) bank deposits in current
transaction of securities dealing with a client , a securities company shall specify a procedure and method for the Know Your Client & Client Due Diligence (KYC/CDD) in writing whereby there shall be sufficient
, irresponsibility, carelessness to the client’s benefit, recklessness or unfair or unreliable business conducts, except where the applicant has received the permission from the Office due to the improvement in its
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