, regular review of documents received from the intermediaries could help to spot any possible irregularities early. In case of any suspicious incident, investors should contact the compliance unit so that
) to provide experts? advice on possible solutions for correcting audit work deficiencies.Note to the Editor: The Independent Audit Inspection Activities Reports from 1 January 2013 to 31 December 2015
years. Such success has been made possible by the continuing collaboration of all parties involved. In addition, the SEC has worked with the SET and the IOD to produce the CG Handbook, which contains
funds. "Such aforesaid research results have raised possible issues of unclear information disclosure, misleading advertising messages and fee collection. The SEC therefore reinforces such matters on
Public Limited Companies Act by holding a shareholders meeting as soon as possible to select new directors and fill vacant positions.In a letter to all individual IFEC directors whose name appear on the
and lack of appropriate client acceptance procedures on non-audit service acceptance decisions. Setting proper procedures to identify impacts on independence and possible conflicts of interest was
soon as possible; 3 (3) the CIS operator has to deliver the information under sub clause (1) and (2) to the securities company within the same period as having duty to deliver to investors or submit to
soon as possible; 3 (3) the CIS operator has to deliver the information under sub clause (1) and (2) to the securities company within the same period as having duty to deliver to investors or submit to
refinance sustainability-linked loans. 1-4 What is the interplay of “use-of-proceeds” and “sustainability-linked” bonds? Can they be combined if need be? It is possible to combine a “use of proceeds” approach
possible successor(s). (b) “CIS” means a collective investment scheme. (c) “Covered Entity” means a Covered Fund and/or Covered Management Company. (d) “Covered Fund” means a Thai CIS and/or a Hong Kong CIS