significant changes in the capitalization and indebtedness and a statement of capitalization and indebtedness that provides current information about the issuer’s guaranteed/unguaranteed and secured/unsecured
Review Panel (“QARP”) First step with confidence Activities for audit quality enhancement Summary of inspection results Next step for stability Conclusion Significant statistical information 3 4 7 8 13 31
) determining an operational procedure for preventing conflicts of interest or access to inside information between work units and personnel of the intermediary; (2) supervising relevant personnel to comply with
) determining an operational procedure for preventing conflicts of interest or access to inside information between work units and personnel of the intermediary; (2) supervising relevant personnel to comply with
) determining an operational procedure for preventing conflicts of interest or access to inside information between work units and personnel of the intermediary; (2) supervising relevant personnel to comply with
Indebtedness Provide information about capitalization and indebtedness. Disclose any subsequent significant changes in the capitalization and indebtedness and a statement of capitalization and indebtedness that
describe. In case that the firm is a significant component or business unit, does the firm have policies and procedures in place to ensure that significant matters related to the group audit have been
significant incomes must be displayed in a separate row (if any). 2.2 Give a separate description of each product line or business group in the following matters (according to the income structure). The
exempted; The granting of exemptions under the first paragraph shall take into significant consideration the appropriateness and sufficiency of information for making investment decisions and measures for
. Significant Changes การเปลี่ยนแปลงที่สําคัญ I X. THE OFFER AND LISTING A. Offer and Listing Details รายละเอียดเก่ียวกับการเสนอขายและจดทะเบียนหลักทรัพย B. Plan of Distribution แผนการจัดจําหนายหลักทรัพย C