Company and Lead Appraiser Contributing (Asset Evaluation) for Capital Market Transaction (codified). Related Forms Application for Approval of Appraisal Company for Capital Market Transactions (AP-1
are, such as, Risk factors Type of operation Capital structure Management structure Related transaction Evaluation report of the internal control system by Internal Auditor (IA) Management Discussion
FAs disseminate the information that is not contained in the filing; Together with the issuers, clarifying to the SEC the following occurrences when arising within one year ( for Thai issuing companies
FAs disseminate the information that is not contained in the filing; Together with the issuers, clarifying to the SEC the following occurrences when arising within one year ( for Thai issuing companies
, auditor, appraisal company, credit rating agency, representative of bond holders, and personnel in the capital market business, etc. There are two types of administrative actions taken by the SEC Office
. Study international supervisory measures and standards 3. Conduct regulatory impact assessment: Analyze the pros and cons and the costs of compliance 4. Seek approval for the measure from SEC Board
shall prepare the client's profile in writing (customer's profiles/ KYC); (3) The private fund management company shall propose an investment policy appropriate for the clients after an assessment of
shall prepare the client's profile in writing (customer's profiles/ KYC); (3) The private fund management company shall propose an investment policy appropriate for the clients after an assessment of
equivalence to that of the EU Member States , or iii. an independent audit regulator of a country that has been assessed under the Financia Stability Assessment Program (FSAP) and
Financia l Stability Assessment Program (FSAP) and earned the assessment results on the topic relating to auditing at least “broadly implemented" level 2.8.3 Approval Process