Representative in Country B. Employed with Licensed Firm A Firm A Country A (Home) Country B (Host) Licensed or registered or approved or authorised individual for investment advice Recognised Representative
333/3 Viphavadi Rangsit Road, Chomphon, Chatuchak, Bangkok 10900, Thailand Tel: +66 1207 or +66 2695 9999 Fax: +66 2695 9660 e-mail: info@sec.or.th BU I L D ING BR IDGES INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2014 INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2014 BUILDING BRIDGES Securities and Exchange Commission, Thailand Securities and Exchange Commission, Thailand Contact Information This report is available for download on the SEC website: www.sec.or.th For more information, p...
audit quality. Because the auditors are the individual with experience and knowledge in the entity they audit, they can plan, perform risk assessment, review the workpapers and provide proper consultation
ability to service the debt obligations. 2. Disclosure of compensation a. Issuer’s directors are on an individual basis; and b. Issuer’s senior managements are on lump sum basis. C. Share Ownership Provide
.) An investor's decision to buy or sell a security should be based on investment objectives, current holdings, and other individual factors. Important Global Disclosures Credit Suisse’s research reports
individual customer’s needs in every aspect of their lives via the mixture of physical branches and digital channels to deliver the best customer experience. These efforts are intended to promote customer
principles can be adapted by each company to best fit the individual firm’s functional needs. If they choose not to comply with any principles, they should explain thoroughly the reasons for not doing so. 2
duties and rules on conflicts of interest for directors, and introducing characteristics that would make an individual unfit to be a director. Shareholder’s rights to amend the meeting agenda, approve
fundamentals which should be included in individual CRA codes of conduct, and the elements contained in the IOSCO CRA Code should receive the full support of CRA management and be backed by thorough compliance
then decide whether each individual activity is green, amber, red, or Out-Of-The-Scope of the existing version of the taxonomy. If the economic activity under consideration meets the relevant metrics and