product. This new regulation allows service providers to use the single form with investors of any products while reducing investors’ burden of filling in repetitive information when opening a new
different intermediaries. Such repetitive filing causes inconvenience and higher cost of accessing different capital market services from different intermediaries. This current practice may also affect the
The proposed amendments aim to streamline and simplify mutual fund disclosure which currently requires numerous details and, in some parts, repetitive information is disclosed in other documents that
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
company has decided to invest in new partnership company together with SUT Global due to SUT is a contractor specialist together with an exceptional and unique technology in construction service. In
transaction, which is the significant transaction that has to be disclosed to the SET. 7. Lease Pricing Determination: This transaction is exceptional which can not be shown that it is wihtin normal commercial
.pdf Annual Report 2007 general satisfactory score of 70 out of 100 and received exceptional results in the supervision of securities companies and asset management companies. We made a full score on
ต้องจัดให้มีระบบงานและแผนรองรับการดำเนินธุรกิจอย่างต่อเนื่อง (Business continuity plan) รองรับไว้ด้วย (Exceptional Case Handling) เห็นด้วย ไม่เห็นด้วย ข้อเสนอแนะ/ข้อสังเกตเพิ่มเติม 4. ข้อ
indicate that the system of quality management is insufficient. 2) Systemic, repetitive, or other significant deficiencies that require prompt corrective action B2 Does the firm establish the criteria and