foreign collective investment schemes should understand the concept and principles of the foreign collective investment schemes. If you are in any doubt, you should consult your local intermediary, local
of units of foreign collective investment schemes should understand the concept and principles of the foreign collective investment schemes. If you are in any doubt, you should consult your local
the SET 5. Other criteria Criteria for authorizing IPO The past five years record must not contain doubt that information in filing and application is inaccurate or incomplete, or that important
Activity_Report_62En INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2019 INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2019 Contents Executive Summary 02 42 45 19 30 04 08 14 Quality Assurance Review Panel Activities for Enhancing Financial Reporting Quality Summary of Audit Inspection Results B. Engagement-Level A. Firm-Level 38 Root Cause Analysis Framework and Focuses in 2019 Essential Statistics Auditing Landscape in Thailand Executive Summary The capital market plays an important role in d...
, associated risks, criteria for returns payment and redemption, expenses and tax benefit conditions before making any investment decision to make sure that they would be entitled to receive benefits and would
other past behaviors demonstrating inappropriateness for acting as capital market business personnel. Investors are strongly advised to always verify transaction confirmation documents to make sure
to make sure that the personal data management is compliance with PDPA by creating Data Governance Policy and Guidelines for personal data protection management throughout the data life cycle
accounts regularly to prevent other persons from using the accounts to trade securities without the investors’ authorization. Besides, transaction conformation documents must always be monitored to make sure
make sure that they are truly issued by the banks or the asset management companies in charge, and to update their fund books (if any) in the following business day to prevent damage that may be caused
share < 60% / Tracking error ≥ 4%) E. Not sure. 0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100% 0% 2% 4% 6% 8% 10% 12% Active style diagram (2017) Below 1.61 1.61 - 1.9 1.9 - 2.19 Above 2.19 Diversified stock