derivatives exchange shall evaluate compliance with the rules and professional codes of ethics of such persons at an appropriate period of time and prepare a report on the evaluation results and actions against
of REIT manager concerning reasonableness of transaction; (c) details concerning evaluation of asset disposal of the appraiser e.g. value appraisal date, appraised value, appraisal method, name of
rules or regulations; (4) evaluate members’ compliance with rules or regulations over a reasonable time period; (5) produce reports on the evaluation and actions taken against members who violate or do
supervised by a regulator located in a country whose supervisory measures on investment management are recognized by the SEC Office; For the purpose of intermediaries’ compliance with the aforesaid provision
with respect to securities; (3) evaluation of risks, and their probability, of discontinuity of a computer system relating to clearing, settlement, and depository services with respect to securities, and
แบบแสดงรายการข้อมูลการเสนอขายหลักทรัพย์ (Unofficial Translation) Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. SEC Classification : ใชภ้ายใน (Internal) FORM 56-1 One Report (Attached to Notification No. Tor Jor. 55/2563) Applicable to the Financial Year Ending 31 December 2021 onwards Annual Registration Statement / Annual Report Form 56-1 One Report Form 69-1 1 September 2020 Note: This annual registration s...
operation; (7) Every delegatees that have been delegated by the management company to operate on its behalf should be supervised except for juristic persons holding a license to undertake securities business
) Evaluation of the test results under (1) and preparation of the test evaluation report by the personnel in charge who is qualified, knowledgeable and independent; (3) Reporting result of the test, reviewing
authorised and supervised by the home regulator that is a signatory, and established for offering for sale under the Mutual Recognition of Funds between Hong Kong Special Administrative Region of the People's