(paragraph ........); ( 2.1.2 incorrect use of accounting policy (paragraph........); ( 2.1.3 inappropriate/insufficient disclosure of information (paragraph........). ( 2.2 Inability to obtain sufficient
International Finance Corporation (IFC) Inter-American Development Bank (IADB) African Development Bank (AfDB) Asian Development Bank (AsDB) Caribbean Development Bank (CDB) Nordic Investment Bank (NIB)
Normal Approval Applicant’s personal record and firm’s profile Instruction a. If there is insufficient space for any section of the form, you may photocopy the relevant page(s) and submit as part of
indicate that the system of quality control is insufficient. 2) Systemic, repetitive or other significant deficiencies that require prompt corrective action 2 Does the firm communicate (Audit Compliance
1 Applicant’s personal record and audit firm’s profile Instruction a. If there is insufficient space for any section of the form, you may photocopy the relevant page(s) and submit as part of this
, if the remaining clients’ assets are insufficient for allocating to the clients in full, the SEC Office shall distribute the allocation proportionately according to the client asset accounts prepared
Fund (IMF) และ Asian Development Bank (ADB) เป็นต้น - 2 - 2. เนื่องจากมีบริษัทจัดการบางแห่งได้มีหนังสือถึงสำนักงานเพื่อขอหารือเกี่ยวกับความหมายของ “CLN/CLD ที่มีการจ่ายผลตอบแทนอ้างอิงกับเหตุการณ์ที่มีผล
) The value of outstanding investment units is insufficient to accommodate the expenses for further investment management; (2) The nature of the sale of investment units, the number of unitholders or the
Clause 31 in order to identify the real client or beneficial owner. In case the client refused to give personal information or the information are substantially insufficient or not current, or there is