of structured notes in private placement under Clause 25(2) shall possess none of the following characteristics, except for the circumstance under Clause 29: (1) within a period of five years prior to
Market ______________________ Clause 15 The auditor in the capital market shall not possess any of the following prohibited characteristics: (1) being put under receivership by the court’s order or being
16/2. Each board member appointed by the Minister shall be Thai national and shall not possess any prohibited characteristics in accordance with Section 9 and shall not be director, manager, person
the SEC Office to be the secretary of the Capital Market Supervisory Board. SECTION 16/2. Each board member appointed by the Minister shall be Thai national and shall not possess any prohibited
Minister shall be Thai national and shall not possess any prohibited characteristics in accordance with Section 9 and shall not be director, manager, person with power of management, officer, employee
INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2020 SECURITIES AND EXCHANGE COMMISSION, THAILAND Contents Executive Summary 01 04 08 15 28 58 62 70 47 Quality Assurance Review Panel Activities for Enhancing Financial Reporting Quality Summary of Audit Inspection Results A. Firm-Level B. Engagement-Level Root Cause Analysis Framework and Focuses in 2021 Essential Statistics Auditing Landscape in Thailand Executive Summary Over the past year, the Thai capital market experienced tremendous volatili...
Company i.e. . Mr. Surachet Chaipatamanont Such proposed new director possess all the required qualifications for the directorship under the Securities and Exchange Act B.E 2535 (as amended) and the
a given credit rating action. The records should be retained for as long as necessary to promote the nternal audit, compliance, and quality control functions to review past credit rating actions in
(if any). In this regard, in case of principal asset, it has to be covenants in accordance with Clause 12. (2) in case the REIT has a policy to invest in or possess other assets besides the principal
-ร่าง- (UNOFFICIAL TRANSLATION) Codified up to No. 5 As of 28 September 2018 Readers should be aware that only the original Thai text has legal force, and that this English translation is strictly for reference. Notification of the Capital Market Supervisory Board No. Tor Jor. 14/2558 Re: Provisions relating to Offer for Sale of Securities Issued by Foreign Company Whose Shares Have Been Traded or Are Purposed to be Traded on Foreign Exchange ___________________ By virtue of Section 16/6 of the...