Clause 28 Personnel in the capital market business shall not possess the following prohibited characteristics: (1) having deficiency in legal competency, being subject to legal action under the law
to his lack of qualifications or his prohibited characteristics pursuant to the law regulating such business operators and the notifications issued by virtue of the said law, such person shall be
of commercial bank, securities company or financial institution established under specific law due to the lack of qualifications or the possession of prohibited characteristics pursuant to the law
risks or not responding to risks identified 4. Specific Financial Reporting and Audit Performance Considerations • A lack of effective communication between audit committees and audit firms • Consistency
• The case studies highlighted a number of positives but also a number of potential concerns: - Domination of the nomination committee. - Lack of transparency and quality of information. - Tunnelling
competitiveness with more distribution channels, new types of mutual funds and join business development in the region with foreign investment funds as well as using mutual funds to help solve a lack of savings
indicating a lack of appropriateness in https://www.sec.or.th/EN/Documents/ActandRoyalEnactment/Act/act-sea2008-no4.pdf RIA พรà¸ı หลัฆชรัพยไ signed.pdf RIA พรà¸ı หลัฆชรà
indicating a lack of appropriateness in https://www.sec.or.th/EN/Documents/ActandRoyalEnactment/Act/act-sea2008-no4.pdf RIA พรà¸ı หลัฆชรัพยไ signed.pdf RIA พรà¸ı หลัฆชรà
absence of revenue from the property development business and increase in administrative expense as explained above. Summary of Financial Performance Analysis of the Operating Results Revenues For the
of 265 million Baht, decreased by 42% or by 191 million Baht due to the absence of specific business tax and residence transfer expense. In 3Q 2019, the Company had a total finance costs of 219 million