-served basis and take into consideration the interest of clients before the interest of the intermediary ; (3) specify a method and procedure for revising securities trading transactions of the clients
securities for business take-overs, and prevention of unfair securities trading practices. Such power shall include: (1) the issuance of rules, regulation, notifications, orders, or directions under this Act
Kingdom of Thailand so permit by virtue of law, the Securities and Exchange Commission hereby issues the following regulations: Clause 1 In this Notification: “ intermediary ” means a securities company and
Audit Firm Name: Subject : Monitoring Prepared by Date Particulars Reference /Guidance Notes Description A Monitoring the Firm’s Quality Control Policies and Procedures 1 Does the whole firm perform
2 แบบสอบทานข้อมูลที่เปิดเผยใน MD&A (“Checklist MD&A”) แบบสอบทานข้อมูลที่เปิดเผยใน MD&A สำหรับแบบ 56-1 ประจำปี................ บริษัท
2 แบบสอบทานข้อมูลที่เปิดเผยใน MD&A (“Checklist MD&A”) แบบสอบทานข้อมูลที่เปิดเผยใน MD&A สำหรับแบบ 56-1 ประจำปี................ บริษัท
An intermediary shall propose only suitable services relating to investment or transactions of capital market products to a client . In this regard, it shall take into account the following factors as
notification of the Office and shall keep the supporting documents which evidence the correctness of such account. In managing a private fund of the nature specified by the notification of the Office, the
percentage of fee that based on the performance (Performance fee) whereby the management company should perform the following 2.1 Prescribing a benchmark that is appropriate for the investment policy for the
shareholder(s) that have ultimate control of the audit firm? 2 Does the person that has ultimate control in the firm be a CFO or managing partner of the firm? If not, how the ultimate shareholder(s) delegate or