password or keeping the password in the safe etc. and restriction for the necessary case only ▪ Specifying the compliance period and instantly when that period had lapse. ▪ Change the password strictly in
, however, bear the constraint which result in the inability to remediate and resolve the findings from the previous inspection cycle. Regarding this matter, theSEC proposes the following recommendation as a
dates on which such payments are due. 5. Describe any arrangement for transfer and any transfer restriction of the debt securities. 6. Disclose the currency the debt securities are denominated as well as
the law on life insurance; and (4) a financial institutions established under a specific law. Clause 4 . Without the limitation or restriction to the power of the Board of directors of the SEC under
restriction in case where the asset management companies are unable to maintain adequate capital. As the asset management companies have been allowed to apply for undertaking of business as a trustee, the
prescribed. The proposal includes rectification period, restriction of business operations during rectification period and undertakings in case of failure to rectify. The proposed rules will provide more up-to
. Reviewed by taking into account comments and recommendations of the business operators received from the previous public hearing, the draft rules include rectification period, restriction of business
____________________ By virtue of Section 9 and Section 15 of the Trust for Transactions in the Capital Market Act B.E. 2550 (2007), which contain certain provisions relating to restriction of rights and liberties of
’ qualified opinions resulted from limitation on their scope of audit/review. Hence, the auditors were unable to obtain sufficient and appropriate audit evidence with respect to valuation of investment in PT
concerning the limitation of the voting rights and the disclosure requirement over the one-third rule so that asset management companies can disclose such information to investors. The afore-mentioned