(Translation) PAGE 20 (Unofficial Translation) The Trust for Transactions in Capital Market Act( B.E. 2550 (2007) ________________ BHUMIBOL ADULYADEJ, REX., Given on the 30th Day of December B.E. 2550; Being the 62nd 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 trust for transactions in the capital market; Whereas this Act contains certain provisions relating to the restriction of rights and l...
Microsoft Word - edited 18 4 08 - A4 paper.doc UNOFFICIAL 1 (Translation) The Trust for Transactions in Capital Market Act B.E. 2550 (2007) ________________ BHUMIBOL ADULYADEJ, REX., Given on the 30th Day of December B.E. 2550; Being the 62nd 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 trust for transactions in the capital market; Whereas this Act contains certain provisions relating to the r...
services relating to capital market products . Division 1 Compilation and assessment of client information _____________________________ Clause 30 An intermediary shall compile and assess a client ’s
Information _____________________________ Clause 30 An intermediary shall compile and assess a client ’s information for the following purposes prior to providing services: (1) knowing the client ; (2
Information _____________________________ Clause 30 An intermediary shall compile and assess a client’s information for the following purposes prior to providing services: (1) knowing the client; (2
Information _____________________________ Clause 30 An intermediary shall compile and assess a client’s information for the following purposes prior to providing services: (1) knowing the client; (2
Climate Bonds Initiative • Provide updates through public disclosure 1 2 4 5 Issuer begins by preparing the bond • Identify assets that meet the relevant sector criteria and compile supporting information
allocation and stock returns using data of individual mutual fund’s stock holdings. We compile data from multiple sources: fund returns, characteristics, TNAs, and periodic stock holdings are obtained from
large number of part-time staff, became a major obstacle for the audit firms in developing and promoting their audit staff to the mid- and high-level management positions. For 2015 inspections, the SEC
Activity_Report_62En INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2019 INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2019 Contents Executive Summary 02 42 45 19 30 04 08 14 Quality Assurance Review Panel Activities for Enhancing Financial Reporting Quality Summary of Audit Inspection Results B. Engagement-Level A. Firm-Level 38 Root Cause Analysis Framework and Focuses in 2019 Essential Statistics Auditing Landscape in Thailand Executive Summary The capital market plays an important role in d...