Board No. TorThor/Nor/Khor. 87/2552 Re: Qualifications and Prohibited Characteristics of Directors and Executives of Derivatives Business Operators (Codified) By virtue of Section 18 and the first
for the latest period (if any). B7 For firms without designated Quality Management partner, do the principals meet regularly to discuss the firm’s goals to quality and document their discussions? B8
.pdf ethical.doc Relationships: Are there any business relationships between the firm, principals or staff or their family members and the audit client or its affiliates? e.g. joint ventures, joint
month.?The SEC, BSA and technology experts from the private sector will jointly organize the seminar for directors, executives and employees of listed companies to create awareness of the ever-increasing
the SEC to order directors and executives who are responsible for the company’s disclosure to provide a clarification themselves if the company fails to disclose such material events; moreover, if a
whose home regulator has already established equivilent rules on reporting of securities holding of directors, executives and auditors of issuing companies would be exempted from the SEC rules in this
whose home regulator has already established equivilent rules on reporting of securities holding of directors, executives and auditors of issuing companies would be exempted from the SEC rules in this
break the rules or fail to perform such duty, they will be held legally liable.Moreover, information concerning unitholding or change of unitholding by directors and executives of trust managers and
. Thakorn Taweesri and (5) Mr. Danuj Bunnag. As a result, they were deemed to have untrustworthy characteristics to become company directors or executives and were banned from serving as directors or
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