Exchange of Thailand dated 18 May 1992 which have been in force prior to the effective date of this Notification shall remain in full force to the extent that they are not inconsistent with nor contrary to
part of a network under common monitoring policies and procedures: (a) Whether the firm receives the overall scope, extent and results of the monitoring process annually; and (b) Whether the firm is
as the definitions of each final risk level. 3 To what extent, does each relevant source contribute to the identification of quality objectives, quality risks, and responses? Please provide an estimate
จากผลการประเมินในหลายหัวข้อมีพัฒนาการที่ดีขึ้นโดยมีรายละเอียดคะแนน เปรียบเทียบกับผลการประเมินประจำปี 2019 ดังนี้ การดำเนินการชี้แจงข้อมูลและข้อกฎหมายของสำนักงาน ด้านความรับผิดของกรรมการ ( Extent
และได้คะแนน 5/6 ใน DB2020 Best regulatory performance: India Kazakhstan and Malta 2.2 Extent of ownership and control (การเป็น https://www.sec.or.th/TH/Documents/AboutUs/Protecting-Minority-Investors
engagement. To the extent appropriate and as required by applicable professional standards, these policies and procedures should cover planning, performing, supervising, reviewing, documenting, and
UNOFFICIAL TRANSLATION Codified up to No. 10 As of 24 October 2018 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re: Rules on Personnel in the Capital Market Business ____________________________ By virtue of Section 16/6 and Section 113 of the Securities and Exchange Act B.E. 2535 (1992), as amended by the Securities and Exchange A...
Thailand respond more strongly to best-performing funds, as evident in the coefficient on the variable top performance quintile, similar to Sirri and Tufano (1998). Second, funds that are operated by asset
(Translation) PAGE 112 (Translation) Securities and Exchange Act B.E. 2535 (As Amended) _________________ BHUMIBOL ADULYADEJ, REX., Given on the 12th day of March B.E. 2535; Being the 47th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law on the securities and exchange; Be it, therefore, enacted by His Majesty the King, by and with the advice and consent of the National Legislative Assembly functioning as...