period, as previously issued, included a qualified opinion, a disclaimer of opinion, or an adverse opinion and the matter which gave rise to the modification is unresolved ( 2.3.1 corresponding figures are

circumstance that gives rise to justifiable doubts as to their impartiality or independence, the respondent shall submit a letter of challenge together with the reason for the challenge as per Form OrYor. 6

the purpose of this Section, a beneficial owner of shares shall mean any person with direct or indirect power to: (1) direct or control the exercise of voting rights in a derivatives business operator

audit and counterbalance the operation and to prevent any transactions which may give rise to a conflict of interest, including keeping documents and evidence relating to the operation to facilitate the

information among work units and personnel; and internal control measures to audit and counterbalance the operation and to prevent any transactions which may give rise to a conflict of interest, including

ผลที่เกิดขึ้นจากความเสียหาย ดังต่อไปนี้ 1) direct loss – ความเสียหายซึ่งเป็นผลมาจากเหตุการณ์ความเสียหายโดยตรง 2) indirect loss – ค่าใช้จ่ายที่เกิดขึ้นตามมาหลังจากเหตุการณ์ความเสียหาย เช่น ค่าใช้จ่ายใน

of the mutual fund or units of collective investment scheme with either direct or indirect investment in shares, upon disclosure of the value of such investment units or units, the value of such assets

giving rise to damage to the reputation or the financial condition or the business operation or the customers of such business. Clause 5. In applying for an approval to act as a mutual fund manager, the

indirect individual account of an omnibus account to the extent that the client knows or should have known as a result of holding such omnibus account. (2) the client gives consent to the intermediary for

conduct securities investment analysis; (9) “ investment advice ” means advice, whether direct or indirect, on the value of a securities or the suitability of a securities investment, or on the buying or