securities company shall prepare financial statements of the private fund pursuant to its actual conditions, and shall comply with the rules, conditions and procedures specified by the notification of the SEC
. (c) Addressing significant matters arising during the engagement, considering their significance and modifying the planned approach appropriately. (d) Identifying matters for consultation or
(Translation) PAGE 112 (Translation) Securities and Exchange Act B.E. 2535 (As Amended) _________________ BHUMIBOL ADULYADEJ, REX., Given on the 12th day of March B.E. 2535; Being the 47th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law on the securities and exchange; Be it, therefore, enacted by His Majesty the King, by and with the advice and consent of the National Legislative Assembly functioning as...
accessing the password by other person, the user should change the password instantly. · Having an encryption the file that keeping the password for the purpose accessing or modifying. [M] · Inspecting
Engagements (4) Human Resources (5) Engagements Performance (6) Monitoring 9. Audit Quality Indicators (“AQIs”) (1) The actual hours spent in reviewing and auditing the financial statements of listed companies
/ Economic Dependence VII. Threatened or Actual Litigation VIII. Gifts and Hospitality IX. Non Audit Services Particulars Reference / Guidance Notes Description A.1 General Policies and Procedures: 1 Whether
actions to alleviate the impact and whether the actual results over the past three years have complied with the law. In case of disputes or legal complaints on environmental issues, specify the details of
management company conducts an offence relating to misleading its financial status or actual performance; (5) the management company is not ordered by the Securities and Exchange Commission or the Office to
prior to the date the branch office starts its operation, it must not appear that the securities company conducts an offence relating to misleading its financial status or actual performance; (6) have an
operation, it must not appear that the derivatives broker conducts an offence relating to misleading its financial status or actual performance; In the case where the derivatives broker lacks of qualification