Notification shall apply to outsourcing function related to business operation to a third party, excluding the following cases: (1) an appointment of a third party to be an agent or a broker of a securities
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...
, notably in case of change of bonds’ characteristic (e.g. through clearing house, central securities depository, Principal Paying Agent, etc.) 2 All disclosures must be made publicly accessible from a
, 2019 onward. Revision has been made for escrow agent transactions to ensure increased flexibility; the Escrow Regulation Committee has been given more powers and obligations in supervising and
. Paying Agent * L. Credit Rating รายการที่กําหนดในประกาศ กจ.4/2549 M. Applicable Law * III. RISK FACTORS รายการที่กําหนดในประกาศ กจ.4/2549 IV. MARKETS A. Identity of Exchanges and Regulated Markets × B
of such meeting, upon any members of executive committee (its agent), managing director (its agent) to the extent that it is appropri ate and necessary within the scope of laws. Furthermore, the
the record date of such meeting, upon any members of executive committee (its agent), managing director (its agent) to the extent that it is appropriate and necessary within the scope of laws
meeting, as well as (3) alteration of the record date of such meeting, upon any members of executive committee (its agent), managing director (its agent) to the extent that it is appropriate and necessary
(1) or (2), excluding any provident fund. (16/1)3 “ selling agent ” means a securities company holding a securities underwriting license whereby selling of units is permitted; (17) “ registered capital
“selling agent” means a securities company holding a securities underwriting license whereby selling of units is permitted; (17) “registered capital” means the amount of money which a management company