percent of the total paid-up shares of such company; (f) a juristic person in which such person has managing power in his position as representative of juristic person; (15)7 “person who may have a conflict
Clause 3 or 4 due to reasonable and appropriate ground or limitation under other laws, the applicant may request a waiver of filing of such information or documents to the SEC Office. In considering the
access privileges beyond those necessary to perform their assigned duties, which may create improper segregation of duties. User Access Privileges Direct Data Access System Settings Inappropriate changes
unresolved matters preventing completion of the engagement quality review. • The documentation may be finalized after the date of the engagement report, but before the assembly of the final engagement file. If
provision of the qualifying product or service. On-Production Unit Activities May include inputs, capital goods, crop-based transformation processes, agricultural outputs, waste management, primary processing
operation and is not based on inside information. The survey result is as of the date appearing in the Corporate Governance Report of Thai Listed Companies. As a result, the survey result may be
Management Company of the Hong Kong Covered Fund to act or refrain from acting in case there is an action which may cause damages to the interest of the investors of the Hong Kong Covered Fund. Yes No If “No
study and understand cryptocurrency risks thoroughly because you may lose your entire investment” 2. การห้ามผู ้ประกอบธุรกิจสินทรัพย์ดิจิทัลให้บริการหรือสนับสนุนการให้บริการ deposit taking & lending เพื่อ
, inappropriateness, or deficiencies in performing the duties. FAs may resort to information from a specialist, having verified that the person is truly knowledgeable and competent in that field. FAs shall have a