ordinary course of business, gives advice to others, or holds himself out to the general public as being ready to give advice to others, whether directly or indirectly, concerning derivatives or 3
guidelines for investors to understand and monitor future business directions of the Company; 1.1.2 Material changes and developments Give a brief account on the material changes and developments regarding the
cost by 10 percent within this year, etc. 1.2 Material changes and developments Give a brief account on the material changes and developments regarding changes in control and the nature of business
Material changes and developments Give a brief account on the material changes and developments regarding the controlling power and the nature of business during the preceding year as well as the material
auditor shall disclose the facts and material impact on the financial statements in his audit report on which he is to sign in order to give his opinion. Any auditor who fails to comply with the provisions
information, internal audit, compliance or other services which are similar to above. Chapter 1 General --------------------------------------- Clause 3. In off-exchange service of derivatives broker
to the rules specified in the notification of the SEC Office. SECTION 32 A trustee shall be prohibited to set off the obligation arising beyond the performance in trusteeship owed by the trustee to a
provide personnel approved by the SEC Office in accordance with the Notification of the Capital Market Supervisory Board concerning Rules on Personnel in the Capital Market Business to give advice
ตรงกัน สำนักงานจึงขอซักซ้อมความเข้าใจในเรื่องต่าง ๆ ดังนี้ (1) การกำหนดเวลาในการรับคำสั่งซื้อขายหน่วยลงทุน (“cut off time”) บริษัทหลักทรัพย์จัดการกองทุน (“บลจ.”) และบริษัทนายหน้าซื้อขาย หน่วยลงทุน
oversee the operation related to important matters such as an audit committee, a credit limit consideration committee and an investment committee to allow such committees to screen and give recommendations