common control with another entity. performs analytical functions that are necessary for the issuing or monitoring of a credit rating or participates in determining credit ratings, including an employee
(Translation) PAGE 112 (Translation) Securities and Exchange Act B.E. 2535 (As Amended) _________________ BHUMIBOL ADULYADEJ, REX., Given on the 12th day of March B.E. 2535; Being the 47th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law on the securities and exchange; Be it, therefore, enacted by His Majesty the King, by and with the advice and consent of the National Legislative Assembly functioning as...
(Translation) Securities and Exchange Act B.E. 2535 (As Amended) _________________ BHUMIBOL ADULYADEJ, REX., Given on the 12th day of March B.E. 2535; Being the 47th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law on the securities and exchange; Be it, therefore, enacted by His Majesty the King, by and with the advice and consent of the National Legislative Assembly functioning as both Houses of Parliam...
issuance of improper auditor’s reports, as well as countermeasures for mitigating such risks. 4.1 Inspection results on the quality control system by the Audit Firm (internal monitoring) (1) Name of
system by the Audit Firm (internal monitoring) (1) Name of inspecting unit…………………………………………………………… (2) Period of inspection.……………………………………………………… ……… (3) Scope of inspection (3.1) Audit engagements level
clients’ intention. The SEC emphasizes the importance of monitoring the operations of business operators to ensure that they comply with all governing rules. In this case, Zipmex clients may contact the
investment universe. These policies should be communicated to clients and beneficiaries in plain and understandable language. 2.2 Active monitoring Institutional investors should monitor closely the companies
control quality and reduce losses - Create motivation by rewarding, if able to produce and control waste according to the target - Improved data storage system and production reports for monitoring and
second half of year 2016 and second quarter of year 2017. In addition, the Company has been closely monitoring the financial debt to equity ratio to be in the appropriate level. 5. Income tax expenses were
information by unauthorized personnel [ii] internal control and [iii] risk management for undertaking precious metal derivatives brokerage including measure for controlling and monitoring performance of its