securities dealing which is not limited to debt instruments. Clause 2 A securities company should arrange a risk management system according to the following guidelines: (1) determining a policy and an
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, executives, employees and others 8. Report on key operating results related to corporate governance 28 9. Internal control and related party transactions 33 Part 3: Financial Statements 36 Part 4
professional? (c) if a partner: i. was the partner in the last 2 years the Audit Engagement Partner, an independent partner, or a key audit partner for this client or a partner in the chain of command; and ii
, for example, patent, concession, copyright and trademark, describe the key characteristics, terms and conditions, impacts on the business undertaking and the terms of such rights. 4.2 Describe the
, for example, resignation of key IT personnel, insufficient budget or demand for resources exceeding the specified level in the capacity plan; (5) assignment of roles and responsibilities of the
Section 90 Securities and Exchange Act B.E. 2535 Section 90. Securities business can be undertaken only by formation of either a limited company or a public limited company, or by a financial
Checklist for Registration Statement for an offer for sale of units of foreign collective investment scheme Form 69 – CIS full [ ] 1. Fund Fact Sheet/ Product Highlight Sheet (Part I) [ ] [ ] 2. Key
) [ ] [ ] 2. Key Information (Part II) (A) The registration statement (B) Prospectus [ ] 3. Certification of Information Accuracy (Part III) [ ] 4. Evidence on the appointment of an authorised person of CIS
and Exchange Commission No. SorKhor/Nor. 37/2550 Re: Relaxation on Calculation and Announcement of Net Asset Value of Mutual Funds Investing in Equity Instruments Issued by PTT Public Company Limited By