the independence and objectivity of credit rating operations; Transparency and timeliness of ratings disclosure CRAs should make disclosure and transparency an objective of their ratings activities; and
activities? A7 Does the firm perform post-issuance reviews of selected engagements as part of its monitoring procedures? If yes, please provide us with the method for selecting engagement to review
Securities and Exchange Commission Independent Audit Inspection Activities Report THE ROAD LEADING TO GROWTH 2013 This report is available for download on the SEC website: www.sec.or.th Contact For
Notification, the anti-money laundering legislations, the internal policies and procedures, as well as the Industry Association Guidelines. The securities company shall arrange for the afore-mentioned activities
, the internal policies and procedures, as well as the Industry Association Guidelines. The securities company shall arrange for the afore-mentioned activities to be reported to their Board of Directors
Notification, the anti-money laundering legislations, the internal policies and procedures, as well as the Industry Association Guidelines. The securities company shall arrange for the afore-mentioned activities
Rules Conditions and Procedures for Management of Funds (No. 2)
Rules, Conditions and Procedures for Management of Funds (No. 4)
Rules, Conditions and Procedures for Management of Funds (No. 3)
Qualifications and Procedures for Appointment of Administrative Panel (No. 2)