experience in reviewing the reliability of financial statements. Rights of Shareholders and Institutional Investors “Shareholders” are considered company’s owners who control the company indirectly by
through new or amended regulations with practitioners to ensure their correct understanding and implementation, and to assign an officer to take care of each company under the SEC supervision. 2. Monitoring
Internal Control Sufficiency Evaluation Form Concepts and Objectives Good internal control is essential for a listed company or a public company as it can help preventing, managing, mitigating risks
Memorandum of Understanding (MoU) between the Securities and Futures Commission of Hong Kong (SFC) and the Securities and Exchange Commission of Thailand (SEC) Concerning Mutual Recognition of
material effect on the issuer’s financial position. Disclose such information that the issuer believes is necessary for an understanding of these arrangements and their material impact on the issuer’s
lender or its agent , do so with an understanding that such borrowing or lending is made in accordance with any of the following purposes: (1) to enable the borrower or other persons to deliver securities
. Clause 2. In carrying out the securities borrowing and lending business, the business operator shall, whether acting as the borrower or its agent or as the lender or its agent , do so with an understanding
agent or as the lender or its agent , do so with an understanding that such borrowing or lending is made in accordance with any of the following purposes: (1) to enable the borrower or other persons to
regulations and an internal control report (if any); (7) a copy of letter approving the increase of its capital, issued by a Compliance Unit having a duty in compliance with the regulations (in the case where
) Basic investment knowledge;(2) Understanding investment products;(3) Understanding digital assets and related risks;(4) Investment diversification and monitoring;(5) Understanding