) Director, executive or controlling person of securities issuing company (2) Employee or worker of a securities issuing company who holds a position, or is in the line of work, is responsible for or capable
) Director, executive or controlling person of securities issuing company (2) Employee or worker of a securities issuing company who holds a position, or is in the line of work, is responsible for or capable
) being able to show that an internal control system capable of preventing wrongful acts that may cause damage to securities issuers or securities holders will be put in place. Clause 4 The application for
License and Granting of License to Provide Services as Securities Registrar (No. 4) dated 27 October 2003 (effective on 1 November 2003). 2 (4) being able to show that an internal control system capable of
License and Granting of License to Provide Services as Securities Registrar (No. 4) dated 27 October 2003 (effective on 1 November 2003). 2 (4) being able to show that an internal control system capable of
the client is legally capable for executing legal acts with digital asset business operators, and review the KYC to ensure that the client’s information is updated and accurate when it appears that the
assurance that their personnel in each level are competent and capable of performing quality engagements. The firms therefore should establish clear policies and procedures for monitoring and processing the
that its operational system will be prompt for operating securities business in the category of mutual fund management; (5) be able to show that its human resource will be prompt and adequate with a view
Jakrajutatip and Miss Pimauma Jakrajutatip who neither were present nor offered any opinion on this agenda item. Opinion of the Board of Directors : The Board of Directors is of the view that the execution of
market • public companies are not able to earn returns to easily fulfill their obligations 1. Economic Environment Economic slowdown : Slower growth of PIEs could have implications to audit fees