capital market products which are over-the-counter derivatives. Clause 5/34 An intermediary shall ensure that the method and procedure for communicating with and providing services to clients have included
instrument shall state a supervision measure on the issuing company to ensure that its investment complies with (1) and (2) as if any such investment is made directly by the trust. Clause 11 The stipulation
protect the client ’s assets and comply with the specific Notifications stipulating about arranging, safeguarding and administration of the assets; (b) in case any law stipulates that the client ’s assets
client’s asset which is under the following rules: (a) in case the client’s assets have been in custody of the intermediary, the administrative system shall be provided adequately in order to protect the
operators in the capital market; - You Protect Forests; We Protect You Project: The TRBN in conjunction with the Mae Fah Luang Foundation under His Majesty the King’s Royal Patronage, the Department
) Date (Oldest) SignIE8.aspx Electronic Transaction Testing Page This page can help to ensure that your environment is ready for digital signing and submitting e-form to SEC, Thailand. Install Library
Handbookforapprovalofforeignauditors , b) inspecting audit works performed by the applicant to ensure the compliance with the ISAs, and c) inspecting the audit firm's quality control system to ensure compliance
: Relevance Date (Newest) Date (Oldest) SignIE8.aspx Electronic Transaction Testing Page This page can help to ensure that your environment is ready for digital signing and submitting e-form to SEC, Thailand