หัวข้อ due diligence หน้า 1 บทนำ ในการจัดเตรียมข้อมูลของบริษัทมหาชนจำกัดเพื่อให้มีความพร้อมในการออกและเสนอขายหลักทรัพย์ต่อประชาชน ที่ปรึกษาทางการเงินจะต้องศึกษาข้อมูลของบริษัทที่ออกหลักทรัพย์หรือที่
. Clause 3. In order to ensure that representatives shall render services with honesty and due care for the best interest of investors as well as provide appropriate and adequate information in line with
or limited company under Section 258 (1), (2), (3), (4), (5) or (6) is a partner or shareholder: O yes O such case has been granted exemption due to: O being an advisor or a director without managing
(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
according to the guidelines under (1) as well. If the holding company operates business of various types with a central company performing the role of managing subsidiaries or associated companies in each
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
rules: (1) investment in the units of an open-end mutual fund may be made only for the purpose of managing liquidity of the fund due to redemption of a significant amount of the units of the fund
. Chapter1 General Provisions _____________________________ Division 1 Regulatory purpose _____________________________ Clause 2 Due to the undertaking of an intermediary as capital market servicer renders
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