(if any). (3) a procedure for verifying clients’ authentication suitably and reliably to ensure that the investments or transactions related to capital market products have been executed by the clients
procedure for verifying clients’ authentication suitably and reliably to ensure that the investments or transactions related to capital market products have been executed by the clients or their assigned
system for reporting information about securities that enables a member to examine its remaining securities in an account each day and check accuracy of its transactions; (4) a system for verifying that a
แบบแสดงรายการข้อมูลการเสนอขายหลักทรัพย์ (UNOFFICIAL TRANSLATION) Readers should be aware that only the original Thai text has legal force, and that this English translation is strictly for reference. 2 Registration Statement for Securities Offering (Form 69-1) Company: .......... (Name of Securities Offeror) ….....… Offers for Sale ....................................................................................................................................................... .................
several related parties, resulting in quite a complex group structure, which could put their independence at risk. For the current cycle, the SEC, therefore, concentrated on verifying the completeness of
Activity Report 61En INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2018 INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2018 Executive Summary....................................................................................02 Quality Assurance Review Panel........................................03 Activities for Enhancing Financial Reporting Quality.................................................................................................07 Summary of Audit Inspection Results A. Firm-Le...
and verifying the correctness of the portion received (6) if the payment for the infrastructure asset will be made by the fund in installments, the stipulation must be specified that fund shall invest
submit reports or relevant information to the management company for the purpose of tracing and verifying the correctness of the portion received (6) if the payment for the infrastructure asset will be