an independent expert in the relevant specific field give an opinion on the accuracy, completeness or reliability of the information presented in the registration statement and draft prospectus. If the
and data within an application and are, therefore, specific to each application. • To ensure the accuracy, integrity, reliability and confidentiality of the records and the validity of the entries made
international auditing standards, only in the case where such behavior may affect the reliability of the overall Thai capital market. 6 Amended by the Notification of the Office of the Securities and Exchange
technology and innovation strategies. The SEC monitors factors which may affect the reliability and stability of the capital market as a whole, including systemic risk, and collaborates with other financial
) Relevance, robustness and reliability of selected KPIs; (ii) Rationale and level of ambition of the proposed SPTs; (iii) Relevance and reliability of selected benchmarks and baselines; and (iv) Credibility of
delivery. In addition, the Company attempted to increase sales by engaging in the development of products with customers to create reliability for customers in dealing businesses with the Company. Return on
support business continuity with suitability, reliability and effectiveness in order that the intermediaries are able to service with the best interest of customers and that the intermediary’s personnel are
continuity with suitability, reliability and effectiveness in order that the intermediaries are able to service with the best interest of customers and that the intermediary’s personnel are able to work
material change in value, form, or condition of transactions, including payment and receipts of funds (transaction monitoring); (b) there is doubt concerning the accuracy, up-to-date, reliability, or
-to-date, reliability, or adequacy of the client’s existing records obtained under the KYC/CDD process; (c) it is, or should become, known by the securities company that the database in Clause 14(1) or