efficient technology systems, a system to review and assess customers’ suitability, which is very important as digital assets contain high risks. Once applicants for licensing are well-prepared and have
) implementing the portfolio according to the asset allocation plan; (4) monitoring and rebalancing the portfolio; and (5) providing consolidated reports for customers’ review;2. The wealth advice service
following requirements: (a) conduct internal audit and operation review, systematically; (b) correct deviation and follow up the result of correction, systematically. Chapter 2 Establishment of Policies
the following requirements: (a) conduct internal audit and operation review, systematically; (b) correct deviation and follow up the result of correction, systematically. Chapter 2 Establishment of
transaction equal to 0.1450% of the net tangible assets by calculating from the limited review consolidated financial statement of the Company and its subsidiaries as at June 30th, 2018. Size of Transaction
แต่งตั้งผู้ประเมินภายนอกท่ีเป็นอสิระ (“external review provider”) ส าหรับการเสนอขายตราสารต่อประชาชนทัว่ไป (public offering) และ ผูล้งทุนรายใหญ่ (high net worth) ก าหนดให้มีการแต่งตั้ง external review
แบบแจ้งการแสดงความเห็นของผู้สอบบัญชีสำหรับรายงานการตรวจสอบ PAGE Conclusion of auditor’s opinion from audit or review of financial statements Name of issuer/offeror For the year ended For the
price rules to allow short selling at a price higher than the latest market price (uptick rule). If the existing measures are deemed insufficient, the SET may review the situation and propose for the