director or general manager to the extent that the derivatives intermediary is a financial institution which has been regulated by other governmental agencies before having obtained an approval for
general manager to the extent that the derivatives intermediary is a financial institution which has been regulated by other governmental agencies before having obtained an approval for undertaking 2
the firm have a partner or manager level individual who is responsible for its monitoring process? If yes, does the responsible person have sufficient and appropriate experience, authority, and time
are enforceable under the SEC Act, the violation of which is a criminal offence. The extent of the SEC’s authority is further defined in SEC notifications, in which details of its context and powers
accounting professions, and having assistant auditors who have minimum academic qualification of a bachelor’s degree in accounting and are members of the FAP, in the total number of not less than five persons
.................................................................................................07 Summary of Audit Inspection Results A. Firm-Level...........................................................................................................10 B. Engagement-Level
– (a) the issuer's principal bankers to the extent the issuer has a continuing relationship with such entities; (b) the sponsor for listing or issue manager to the offer; (c) the underwriter to the offer
understanding of the application and the spirit of the relating Acts and regulations made thereunder. Reformation and Legal Framework Extent of director liability index Thai law protects the right of
understanding of the application and the spirit of the relating Acts and regulations made thereunder. Reformation and Legal Framework Extent of director liability index Thai law protects the right of
mutual understanding that the information is shared confidentially. The Principles are high-level objectives that CRAs, regulators, rated entities, obligors, underwriters, arrangers, and other market