earning appropriation x x (x) 9. Payment dividend (x) x x 10. Increase (decrease) issued capital/1 x x x 11. Increase (decrease) stock right and warrants/1 x x 12. (Increase) decrease Treasury stock/1 (x
clearly determined and tangible e.g. fund performance, management company’s performance, market share, etc. The long-term plan should demonstrate the direction of the business and the future plan such as
per share. In case of having securities listed elsewhere, identify the name of the Stock Exchange. (2) In case of having other types of share such as preferred share whose rights or terms differ from
hereby issues the following regulations: Clause 1 Units of foreign collective investment scheme in the type of share is securities having investment characteristic similar with investment units. A person
, conditions, and procedures for the following matters for compliance by management companies : (1) the sale and redemption of investment units of mutual funds , the increase or reduction of investment units of
companies to comply: (1) Sale or redemption of investment units of a mutual fund, increase or reduction of investment units of a mutual fund or fund units of a provident fund, payments for redemption of
(3); (b) The licensee having a legal entity in the conglomerate being a securities company obtaining a securities business license type A where the said securities company has been granted a reduction
license type A where the said securities company has been granted a reduction in the securities business license fee in accordance with the Ministerial Regulation Concerning Granting of Approval for
ลดความเสี่ยง (reduction) การหลีกเลี่ยงความเสี่ยง (avoidance) หรือการร่วมรับความเสี่ยง (sharing) 8. องค์กรได้พิจารณาถึงโอกาสที่จะเกิดการทุจริต ในการประเมินความเสี่ยงที่จะบรรลุวัตถุประสงค์ขององค์กร คำถาม
share of my audit clients or its related entities; 2. My immediate family members, including spouse and children, and I are not director, executive or representative of my audit clients or its related