the nature or timing of the auditor’s work (paragraph........); ( 2.2.3 limitations imposed by management (paragraph........). ( 2.3 Corresponding figures contains or may contain material misstatement

Circumstances relating to the nature or timing of the auditor’s work (paragraph number........) ( 2.2.3 Limitations imposed by management (paragraph number........) ( 2.3 If the auditor’s report on the prior

Section 50 of the Constitution of the Kingdom of Thailand specified the restrictions shall be imposed by virtue of the law, the Office of the Securities and Exchange Commission hereby issues the following

Section 50 of the Constitution of the Kingdom of Thailand specified the restrictions shall be imposed by virtue of the law, and Clause 1(3) of the Notification of the Securities and Exchange Commission Re

Clause 3(1). Chapter 3 Conditions Imposed on Licensees ____________________ Clause 10 An agricultural derivatives business licensee shall comply with the following conditions: (1) commencing the operation

imposed by the State or an authorized agency in supervising derivatives trading. O yes (please specify in detail) O no 2.4 Please summarize the rules which the State or an authorized derivatives supervision

; · Regarding the disclosure requirements imposed on Covered Funds including, for example, preparation of prospectus and annual report of mutual funds, etc., and the regulations related to sales conduct, HK-TH

same matter under this Chapter, and the Stock Exchange or the derivatives exchange has already imposed a penalty on such persons in accordance with their respective regulations, the SEC Office may not

management record as follows: (a) for the period of one year prior to the date the securities company submits the application, no investor contact working for the securities company being imposed a probation

period of one year prior to the date the derivatives broker submits the application, no investor contact working for the derivatives broker being imposed a probation or higher more than three cases, unless