; (9) dissolution of the mutual fund; (10) channels and methods for filing complaints, and dispute resolution by arbitration and the procedure for submitting a dispute to arbitration. Clause 10 Warnings

measure for such procedure, if necessary. 5.2 The board of directors and executives set suitable indicators for performance appraisal, incentives and rewards with regard to code of conduct, and the

offered for sale to foreign investors under the Notification concerning the Offer for Sale of Debentures in Foreign Country only in the case of an offer for sale to investors in a similar procedure to the

the Office a renewal application at least thirty days prior to the expiry date of the approval in the form and procedure provided in the Office’s electronic work system along with evidence or reference

rules: (1) disclose the information on the execution of such transaction to the SEC Office in the form and procedure specified in the Electronic Information System of the SEC Office; (2) disclose the

procedures for keeping documents by the company secretary. The company therefore may use any effective procedure that also safely prevents unauthorized access, revision, change or destruction of such documents

ส่งมอบหลักทรัพย์ที่ให้ถือว่าเป็นที่สุด (finality of settlement) ตลอดจนขั้นตอนและวิธีดำเนินการกรณีสมาชิกผิดนัด (default procedure) 8.2.3 ระบบการชำระราคาและส่งมอบหลักทรัพย์แบบ delivery versus payment (DVP

ิrating procedure / rating methodology / แนวทำงกำรเปิดเผยขอ้มลูทีเ่กีย่วขอ้งกบักำรจดัอนัดบัควำมนำ่เชื่ อถอื / แนวทำงจดักำรขอ้มูลทีไ่ดร้บัมำเนือ่งจำกกำรใหบ้รกิำรจดัอนัดบัค วำมนำ่เชือ่ถอื เป็นตน้ ฉบบัจรงิ 1

documented to reflect the audit trail that would ensure that such procedures had actually been performed. Inappropriate timing and documents were used to test sales cut-offs, rendering this procedure

Partners / Staff Leaving: Does the policies and procedure require that: · all partners, senior or other members of the firm notify the firm regarding potential employment with any audit client of the firm