) reduction of paid up capital of the REIT; (5) issues concerning unitholders; (6) preparation of the register of units, transfer of units and restriction, and issuing certificate of entitlement; (7) investment
activity; ( 3) monitoring and evaluating the performance of the Fund in accordance with its objectives; (4) supervising the operation and general administration as well as issuing rules or regulations of the
, I hereby acknowledge that, for the purpose of rendering consideration whether to list my name onto the Issuing Company’s Director and Executive Database, the SEC Office will take the following
amendment of the regulations regarding issuing Transferable Subscription Rights (TSR) in order that listed companies will be able to issue TSR to the existing shareholders according to their shareholding
from holding the director and executive positions at any securities issuing company and listed company. According to the referral from the Stock Exchange of Thailand (SET) and the SEC's further
contracts on the Derivatives Exchange for 3 years from 15 December 2020; and a bar from serving as a director or executive in a securities issuing company or a securities company for 5 years from 15 December
evaluate the quality risks, how many levels are determined, and what are the definitions for each level? For example, how many level of likelihood are there, and what are the definitions for each likelihood
system (KYC) that are appropriate to evaluate product risks against characteristics of each customer; - separate departments or personnel responsible for customer assets safekeeping from other operational
Activity_Report_62En INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2019 INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2019 Contents Executive Summary 02 42 45 19 30 04 08 14 Quality Assurance Review Panel Activities for Enhancing Financial Reporting Quality Summary of Audit Inspection Results B. Engagement-Level A. Firm-Level 38 Root Cause Analysis Framework and Focuses in 2019 Essential Statistics Auditing Landscape in Thailand Executive Summary The capital market plays an important role in d...
- 8 8 2 Corporate fraud 2 2 - - Others - 2 1 - AnnUAL TOTAL 19 13 9 2 TABLe 6: Court Judgment under the Securities and exchange Act † Exchange rate 1 USD = 31.83 THB ‡ Issuing companies failed to duly