UNOFFICIAL TRANSLATION 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 Office of the Securities and Exchange Commission No. Sor Nor. 87/2558 Re: Rules, Conditions, and Procedures for Management of Retail Funds, Mutual Funds for Accredited Investors, Mutual Funds for Institutional Funds, and Private Funds ______________________ By virtue of Clause 6, Clause 8, and Clause 9 of the Notification...
journal vouchers. An auditor did not classify journal vouchers or establish the means for sample selection while most of the samples selected were normal transactions. Example 7 : An auditor documented that
Fundamental Framework Tier and the Plus Standard Tier. The Foundation Framework tier of the ASEAN Taxonomy is a single sector- agnostic decision tree to classify activities into three categories: green, amber
, which can be used as a guideline for customer selection, have been established to classify customers based on sector risk levels. Establish risk management mechanism in response to risk events which may
customer risk profile. Credit policy has been tailored for each customer segment. Industry pre- screening criteria, which can be used as a guideline for customer selection, have been established to classify
customer risk profile. Credit policy has been tailored for each customer segment. Industry pre-screening criteria, which can be used as a guideline for customer selection, have been established to classify
Annual Report 2010 ANN UAL REPORT 2010 SECURITIES AND EXCHANGE COMMISSION, THAILAND ASEAN ECONOMIC COM MUN ITY Vision S = Setting High Standard E = Ethical C = Committed Pro = Professional Mission Core value: SEC-Pro The SEC develops and supervises the Thai capital market to ensure efficiency, fairness, transparency and integrity. The SEC is to establish the Thai capital market as an important alternative for investors and fund raisers with an efficient mechanism for investor empowerment and, in...