persons who demand information to get a convenient access without requirement for member subscription; and (c) giving advice without any core objectives of providing advisory services to other persons
convenient, expeditious and fair for investors, the Office of the Securities and Exchange Commission hereby issues the following regulations: Clause 1. This Notification shall come into force as form 16 May
different from those mandatory targets prescribed by the FAP (12 hours/year, and at least 6 hours relate to accounting subject)? If yes, explain how and why. 8 How does the firm obtain, compile and monitor
the year under review but decide to continue? If yes, explain. C External Pressures: 1 How is the firm’s practice influenced partner and audit staff’s behavior regarding selling of non-audit services? 2
committee before the appointment of such custodian. In seeking the consent under the first paragraph, the private fund management company shall explain the connection with the connected person under the first
. In the case where the Office requests the management company to explain or to provide additional documents within a specified period, if the management company does not comply nor proceed within the
: CGR ที่ประเมินโดย IOD ก็พิจารณาการเปิดเผยข้อมูลเหล่านี้เป็นปัจจัยในการให้คะแนนด้วยเช่นกัน ทั้งนี้ จะเป็นการเปิดเผยข้อมูลด้วยหลัก comply or explain ซึ่งจะกำหนดให้เปิดเผยข้อมูลดังกล่าวใน (1) แบบแสดงรายการ
total revenue from the other clients thereof. 7. Safeguards against independence impairment of the partners in the Audit Firm Please explain the safeguard against independence impairment of the partners
written from the clients or provident fund committee, as the case may be, such consent may specify in private fund agreement. Provided that, private fund management company shall explain about conflict of
acquire assets or business unrelated to the operation of the current business: explain the reasons and backgrounds for the acquisition of such assets or businesses as well. 2. To acquire assets or finance