SEC Secretary-General Rapee Sucharitkul revealed that “the financial reports are crucial for investors’ investment decision-making. The independence of auditors, which plays an important role in
issue of political independence of the securities supervisor through the creation of a formal governing body (a board, council, or commission) whose members are given fixed terms of appointment. If the
Audit Firm Name: Subject : Ethical Requirements Prepared by Date INDEPENDENCE, INTEGRITY AND OBJECTIVITY: A. Independence Procedures Checklist: Obtain a copy of the firm’s documented ethics
: __________________________________ __________________________________________ (full name) __________________________________________ (company) Sales Report Form for the sale of units of foreign collective investment scheme offered in
: __________________________________ __________________________________________ (full name) __________________________________________ (company) Form updated as of June 2021 Sales Report Form for the sale of units of foreign collective
: __________________________________ __________________________________________ (full name) __________________________________________ (company) Name of foreign collective investment scheme (CIS): Type of arrangement: ASEAN
information among borrowers, lenders and other market participants; Independence and conflicts of interest CRA rating decisions should be independent and free from political or economic pressures and from
Securities and Exchange Commission No. Sor Nor. 31/2564 Re: Additional Provisions relating to Offering for Sale of Units of Collective Investment Schemes between Hong Kong Special Administrative Region of the
compliance with all relevant and applicable law and standards. (4) Review internal auditor’s independence, and approve the appointment and termination of the head of the internal audit function. Outsourcing
Notification of the Capital Market Supervisory Board No. TorThor. 7/2557 Re: Rules, Conditions and Procedures for Selling, Repurchasing and Redeeming Units of Foreign Collective Investment Scheme