intermediary should separate development and production environments and allow to access by only authorized personnel for each environment. Such separation may be in the form of using different computers or

. Provide the disclosure in a separate section titled “Risk Factors” and separate different types of risk factors into different subsections. 3. In case of offering for sales of unusually risky debt

evaluation should be made to project the future capacity requirements based on current use of resources for ensuring the required system performance; 4. The intermediary should separate development and

ยืดหยุ่น (flexible portfolio fund) บริษัท จัดการต้องกำหนดนโยบายการลงทุนให้ชัดเจน และจะต้องลงทุนในหรือมีไว้ซึ่งหลักทรัพย์หรือ ทรัพย์สินอื่นหรือการหาดอกผลโดยวิธีอื่นตามที่สำนักงานกำหนดหรือให้ความเห็นชอบให้

the omission of allocation of net profit as legal reserve since the separate financial statements of the Company states net loss and the omission of dividend payment from the operating result for the

INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2020 SECURITIES AND EXCHANGE COMMISSION, THAILAND Contents Executive Summary 01 04 08 15 28 58 62 70 47 Quality Assurance Review Panel Activities for Enhancing Financial Reporting Quality Summary of Audit Inspection Results A. Firm-Level B. Engagement-Level Root Cause Analysis Framework and Focuses in 2021 Essential Statistics Auditing Landscape in Thailand Executive Summary Over the past year, the Thai capital market experienced tremendous volatili...

possibility of an extension of the oil production reduction policy that originally was due to end in March 2018, along with the supply concerns that arose with Kurdistan’s referendum to separate from Iraq which

including real estate equities, infrastructure equities, multi- strategy real asset solutions and real asset debt. PSG manages separate accounts, registered funds and opportunistic strategies for

dissolution of invested mutual fund, closing of acceptance of trading orders of investment units or any other ground in a similar manner (if any). (4) separate the trading account for the capital market

UNOFFICIAL TRANSLATION Codified up to No. 6 As of 12 April 2019 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 35/2557 Re: Rules in Detail on Communication with and Providing Services to Clients of Securities Companies and Derivatives Intermediaries ______________________ By virtue of Section 98(6) of the Securities and Exchange...