companies licensed to undertake the said businesses. In addition, the revisions will extend the scope of transactions subject to segregation to cover offshore securities trading service, brokering, dealing
. Previously, the SEC notified VTE to rectify its 2013 and Q1/2014 financial statements due to the auditors? qualified opinions resulted from limitation on their scope of audit/review. Hence, the auditors were
Bangkok, August 26, 2014 ?The SEC is seeking public comment on proposed common offering rules for new financial products not falling within a scope of any existing rules. Introducing the common rules
the SEC office on March 19, 2021 and the auditor is limited its scope of the review or audit by the GL’s executives of the securities issuer for that the financial statement that caused MD&A for Q3
shall monitor and supervise its personnel, who are responsible for providing investment analysis, consultation or planning to clients, to perform their duties within the specified scope as approved by the
, who are responsible for providing investment analysis, consultation or planning to clients, to perform their duties within the specified scope as approved by the SEC Office under the Notification of the
Location Hertfordshire, United Kingdom Tesco has selected total Scope 1 and 2 greenhouse gas emissions as the KPI for its Sustainability-Linked Bonds (SLB). Sustainalytics considers the KPI chosen to be
regarding Definition of Institutional Investor, Ultra High Net Worth, and High Net Worth Investor; “client” means user of an intermediary’s services; “Stock Exchange” means the Stock Exchange of Thailand
” means a trust certificate representing the rights of its holder as the beneficiary of the trust; “trust” means an infrastructure trust; “high net worth investor” means a person who meets one of the
standards obliged to use in preparation for such financial statement; or (2) the auditor is limited its scope of the review or audit, as the case may be, by any acts or failure to act of the securities issuer