”)? Yes No If you answered “Yes” please skip to the question number 4.5 4.3 Is the audit oversight authority you registered with in the country that is recognised by the European Commission as equivalence
, was published in the Government Gazette on 6 September 2004, Royal Decree Issue, Volume 121, Special Section 97Ngor. Amended by the Notification of the Securities and Exchange Commission No. KorThor
) Secretary-General Office of the Securities and Exchange Commission . Original proposed guideline Comment/question From company The SEC Office’s comment Backup and IT Contingency Plan. Preparing readiness in
) the securitization under the Royal Enactment on Special Purpose Juristic Persons for Securitization; (3) other transactions which are supportive or beneficial to capital market development. SECTION 5
Passport (“MOC”)? ( Please tick if your answer to question 8 is “No”. ) Yes No If “No”, please specify _____________________________________________________
levels; and · require the Ethics Partner to carry out appropriate investigations, where the audit client or a third party calls into question the integrity, objectivity or independence of the audit firm. 8
(Translation) PAGE 112 (Translation) Securities and Exchange Act B.E. 2535 (As Amended) _________________ BHUMIBOL ADULYADEJ, REX., Given on the 12th day of March B.E. 2535; Being the 47th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law on the securities and exchange; Be it, therefore, enacted by His Majesty the King, by and with the advice and consent of the National Legislative Assembly functioning as...