Capital Markets Services Licence (“CMSL”) A CMSL holder that submits an application to register an eligible professional as its Recognised Representative must demonstrate that it has the requisite policies
can demonstrate that it has adopted a mechanism which ensures that the management of the company shall be for the best interest of the business and its shareholders as a whole; (b) having benefits
used, and approvals of sale transactions; No examination of appropriate cut-off documents, i.e., documents that demonstrate the transfers of risks and rewards from sellers to buyers, when testing the
, this process could be improved further with adequate consultations and proper documentation of judgments to demonstrate clearly that before providing such services, the firms had considered all relevant
, 2018, and September 30, 2018. 6 Market, dated November 20, 2018, both coming into effect January 1, 2019. The new regulations stipulate that listed firms shall rotate auditors who have performed their
TRANSLATED VERSION As of August 27, 2014 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 37 Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries _____________________________ By virtue of Section 16/6 and Section 113 of the Sec...
a waiver for disclosure of some information under this Notification, provided that an offeror is able to demonstrate to the SEC Office that [i] such information does not materially affect the
efforts and firm value but their findings are rather mixed. In support of a positive effect of CSR on firm value, Jiao (2010) uses Kinder, Lydenberg, Domini (KLD) data to demonstrate that CSR has a positive
person having the characteristics under Paragraph 1(1) or (2) if the management company can demonstrate to the SEC Office that such person has rectified the cause, work system, management structure and