SEC proposes the amendment to Securities and Exchanges Acts in various aspects so that the law would be more flexible, able to keep pace with new development and suitable for actual use. It also aims
บริษัท หลักทรัพย์จัดการกองทุนอีสท์สปริง (ประเทศไทย) จำกัด|กองทุนรวมหน่วยลงทุน (Fund of Funds),กองทุนรวมเพื่อการเลี้ยงชีพ | วันที่เสนอขาย : 30/06/2557 - 04/07/2557
clear, and to amend the rule to be more flexible as that the use of proceeds which differs from what stated in the filing will be required to obtain an approval from a shareholders’ meeting only if the
The Exclusion of Investment Management for Private Equity Firm from Securities Business in the Category of Private Fund Management
Audit Firm Name: Subject : Leadership Responsibility Prepared by Date LEADERSHIP RESPONSABILITIES FOR QUALITY WITHIN THE FIRM Particulars Reference / Guidance Notes Description 1 Who is the ultimate
Audit Firm Name: Subject : Monitoring Prepared by Date Particulars Reference /Guidance Notes Description A Monitoring the Firm’s Quality Control Policies and Procedures 1 Does the whole firm perform
Audit Firm Name: Subject : Human Resources Prepared by Date Particulars Reference /Guidance Notes Description A Human Resources Planning 1 Is the firm’s human resource planning in line with the
names of foreign personnel of foreign business operators, allowing a more flexible timeframe from one business day in advance to within seven business days from the day investment information or advice
Audit Firm Name: Subject: DOCUMENTATION Prepared By: …………. Date: ……………….. Documentation Sr. Particulars Reference / Sr. Particulars Reference / Guidance Notes Description 1 How does the firm document
Questionnaire A Monitoring the Firm’s Quality Management Policies and Procedures Firm's Reference /Guidance Notes Description A1 Does the whole firm perform inspection to evaluate its compliance with