units in order to achieve efficiency in the overall operation of the company. (4) have performance appraisal and personnel development in order to maintain staff’s professional competence to remain fit
by a company under Clause 1(3)(e), the appraisal of the infrastructure asset shall be conducted on the fund and the company issuing such shares in the following manners: (a) the appraisal on the fund
intangible assets which the Company and the subsidiaries use for business undertaking. The Company may also disclose the appraisal price. In addition, disclose the investment policy in the subsidiaries and
caused by risk arising from business operation to the extent that it does not have an adverse affect on the business operation of the securities company. Risk to be taken into appraisal in risk management
attached herein the information on such appraisal. 5. Legal disputes Give a brief description of the ongoing lawsuit(s) or legal dispute(s) whereby the Company or subsidiary is a party. The description shall
on such appraisal, with the details presented in Attachment 4. In the case of 5.2 and 5.4, if an appraisal of foreign assets is involved, it shall be made by the person considered by the Company and
and a deficit, it shall demonstrate such items separately without setting off. /2 In case of the company have various categories of additional paid-in other capital (deficit), namely appraisal surplus
Companies ; (2) “ securities ” means any securities which are not debt instruments or investment units; (3) “ securities company ” means a company licensed to undertake securities business in the category of
the appraisal process? 11 How the firm’s training covers emerging issues such as new TFRSs, TASs, TSAs, Ethical Standards and other emerging issues and whether training promotes quality control ? How
of the Office of the Securities and Exchange Commission No. OrKhor./Nor. 5/2549 Re: Guidelines Relating to Operating Systems of Fund Management Business In order for a management company to comply