derivatives broker shall maintain complete documentation with respect to the undertakings in Clause 20, Clause 21, and Clause 27 in a manner that it is readily available for immediate request or inspection by
shall be made readily available for immediate use or verification by the management company , and shall be made available for the SEC Office’s inspection upon request. Clause 15 In case the SEC Office
management company shall require the representative to completely keep updated evidentiary documentation as for providing services to clients. In this regard, such documents shall be made readily available for
, or other third party, to verify the internal tracking method and the allocation of funds from the Green Bond proceeds (see External Review section). 4. Reporting Issuers should make, and keep, readily
, readily available up to date information on the use of proceeds to be renewed annually until full allocation, and on a timely basis in the case of material developments. This annual report should include a
the GBP to promote best practice. 4 Reporting Issuers of SLBs should publish, and keep readily available and easily accessible: - up-to-date information on the performance of the selected KPI(s
not uniform, data are also often not readily available due to poor recording Common challenges Several actions that can be taken: ● Ensure data storage and management ● Focus to obtain primary data from
Activity report 2017En CAPITAL MARKET FOR ALL INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2017 INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2017 Executive Summary Quality Assurance Review Panel Activities for Enhancing Financial Reporting Quality Framework and Focuses in 2018 Root Cause Analysis Summary of Audit Inspection Results A. Firm Level B. Engagement Level Essential Statistics 49 4412 46 0402 07 Contents Executive Summary The capital market is a fundamental component in driving Thai...
of the SLBP but also ensure proper monitoring, disclosure and verification as per section 4 of the SLBP. In particular, issuers of SLBs should publish, and keep readily available and easily accessible
trigger of the SPT performance leading to potential adjustments, such as a coupon step-up or premium payment of our SLB, we will publish and keep readily available and easily accessible on our website: Up