threshold ................................................................................................... 9 Scope of emissions
can also be used to demonstrate the extent to which they have complied with the Code. In a similar spirit, UK institutions that apply the Code should use their best efforts to apply its principles to
provision of services as a securities clearing house or central securities depository to the extent that members or their clients, or any involved persons understand risks from use of the services, and shall
not implemented, has the reasons for departure been documented? If no, how does the firm ensure that difficult or contentious matters have been resolved appropriately? Are the nature, scope and
difference in the procedures to the extent that it will not materially change the work system and personnel provided in the application; (2) the rules and regulations of the derivatives exchange necessary for
’ quality controls. Furthermore, it is expected that the firms appropriately respond to the assessed risks in all relevant aspects, including scope, timing and extent of audit works, since this would be the
. Rules and Periods for Report Submission of Securities Companies dated 18 May 1992 which have been in effect prior to the effective date of this Notification shall remain in full force to the extent that
Exchange of Thailand dated 18 May 1992 which have been in force prior to the effective date of this Notification shall remain in full force to the extent that they are not inconsistent with nor contrary to