group comprise independent audit regulators from four ASEAN jurisdictions, namely the Audit Oversight Board of Malaysia (AOB), the Accounting and Corporate Regulatory Authority of Singapore
partner or equivalent affiliated with the audit firm; 2. I or a person with equivalent authority in the audit firm, the audit firm, other partners or equivalent, other licensed CPAs, or assistant auditors
affiliated with the audit firm; 2. I or a person with equivalent authority in the audit firm, the audit firm, other partners or equivalent, other licensed CPAs, or assistant auditors in the audit firm who has
Board concerning the Selling of Newly Issued Debt Securities and Derivative Warrants of a Securities Issuer. Chapter 2 Authority of the SEC Office ____________________ Clause 8 In the cases it appears to
. Although this circumstance is not a normal transaction of the Company, the Company had to issued credit notes and received program rights return of Baht 220 million to maintain business relations with the
which are fixed income funds making daily redemptions and same-day settlements or settlements on the next business day. It is therefore crucial that they maintain adequate liquidity to respond to
has to be maintained to ensure continuity of business operations.To cover potential liability risks arising from professional negligence, asset management companies are required to maintain
limit damage to customers and the capital market in general in case the businesses face financial difficulty. The securities companies and derivatives brokers are presently required to maintain net
. That is, the securities broker failed to Inefficient management and management of liquidity risks. (2) failed to maintain the net capital (“NC”) in accordance with the rules, conditions and procedures
responsible for the management of foreign collective investment scheme; “home regulator” means a regulator that has the authority to supervise foreign collective investment scheme or a CIS operator; “brokerage