and financial statements audited by an auditor who is employed by an audit firm that has been inspected by the SEC*; 2. Submit half-year and annual financial statements that have been
monitored with professional investment advices. If investors encounter any solicitation to transfer money into an account of securities firm, whether or not it is the firm that investors have already opened
. In the event that the Company or a subsidiary undertakes a property development business, clarify the characteristics of each ongoing significant project such as the project title and location, the
respective rights thereof as well. In the event that the Company or a subsidiary undertakes a property development business, clarify the characteristics of each ongoing significant project such as the project
which social media will be used to disseminate such information.1 1. https://www.sec.gov/news/press-release/2013-2013-51htm Theoretical Perspective • The firm strategy may seem obvious… • Given the nature
promotion – and clarify the respective rights thereof as well. In the event that the Company or a subsidiary undertakes a property development business, clarify the characteristics of each ongoing significant
ปี x-1 ปี x ปี x+1 ปี x+2 เกณฑ์ filing เร่ิมใช้ตั้งแต่ปี X เกณฑ์ ongoing เร่ิมใช้กับบริษัทที่ได้รับอนุญาต IPO ตั้งแต่ปี X และ ไม่ย้อนกลับไปใช้บังคับกับบริษัทที่ได้รับอนุญาต IPO ก่อนปี X บริษัทได้รับ
Prioritise Advancing the Best Interest of Clients 40 Principle 3 Make Informed Investment Decisions and Engage in Active Ongoing Monitoring of Investee Companies 42 Principle 4 Apply Enhanced Monitoring of and
is an affiliated company ; (3) internal audit only if the outsource operator is an affiliated company or audit firm; (4) compliance function only if the outsource operator is an affiliated company ; (5