transaction confirmation evidence that must be issued by the responsible asset management company or the selling agent bank only. In case of doubts, immediate contact with the compliance unit is recommended
case, investors should check the records of transaction confirmation regularly to make sure that they are properly issued by the securities companies in charge. In case of suspicious incidents
withdrawn retroactively from bonds certified under earlier versions of the Criteria. 2 Assets and Projects in Scope 2.1 Assets in scope Table 1 presents use of proceeds that might be included in a Certified
determined in accordance with the following formula: Sale Shares Price = Permata Book Value (as set out in the last financial statements published prior to the date of confirmation of satisfaction of all
significant improvements in several areas within the element of ethical requirements. For instance, audit firms have established policies and procedures to prevent any conflicts of interest that might arise
, they might have identified and assessed such risks but then failed to performed further audit procedures whose nature, timing, and extent are responsive to those assessed risks. Assessing the risks of
that the option to sell the remaining shares shall be exercised upon the confirmation from SBITO that the services provided by the Company are completely transferred and handed over to SBITO. Therefore
Securities (Thailand) Public Co.,Ltd., the SEC probe into the case and found that {A} made trading confirmation and informed the clients of receipt and payment. In addition, trading reports for a number of
other persons from using their accounts to trade securities without their knowledge, and make sure that the documents of transaction confirmation are issued by the securities companies in charge. In
ทรัพย์และบัญชีเงินลงทุนของลูกค้า (Customer Confirmation and Portfolio) ที่มีรายการไม่ครบถ้วนตามหลักเกณฑ์การจัดทำรายงานการส่งคำสั่งซื้อขายของลูกค้าเพื่อใช้แทนใบคำสั่งซื้อขาย (order ticket) จึงเป็นการไม่