preparing records of clients’ assets from those responsible for physical keeping of such assets , and each transfer of clients’ assets shall be approved by the company’s authorized person who shall be neither
) or giving advice on securities trading and shall put in place a good internal control system for custody of clients’ assets. At least, there shall be a separation of personnel responsible for preparing
Thai Institute of Directors (Thai IOD) deemed that it is its mission to assist our members to put these guidelines into practice. In preparing the Director Compensation Best Practice, the Thai IOD
Thai Institute of Directors (Thai IOD) deemed that it is its mission to assist our members to put these guidelines into practice. In preparing the Director Nomination Best Practices, the Thai IOD
be prudent. The management company should examine the procedure for obtaining the resolution and vote counting. In preparing a report on the resolution in order to amend the mutual fund scheme, the
laws and related rules in which the management company should be prudent. The management company should examine the procedure for obtaining the resolution and vote counting. In preparing a report on the
applicant and capable of preparing the financial statements of the applicant for the latest period which shall be submitted to the SEC Office together with the application within the specified period of
stakeholders with a pivotal role in preparing accurate and quality financial reporting from the beginning are chairman of the board of directors, chief executive officer (“CEO”), chief financial officer (“CFO
workshops for our auditors, as well as for the auditors preparing to register with the SEC, as we seek to expand the pool of the SEC-registered auditors. Being well aware of the fact that the quality of