, conditions and procedures on management of fund. Management company shall reveal to unitholders, clients or prospective investors, as the case may be, in order to know that such information under paragraph one
Commission on rules, conditions and procedures on management of fund. Management company shall reveal to unitholders, clients or prospective investors, as the case may be, in order to know that such
Please note and reveal the information to know each other. Yours Truly, Pol.Maj.Gen. (Vatin Comsongsri ) Director
intermediary and reveal the report in the annual compliance report; (5)1 in case the outsourced function is related to derivatives investment, the intermediary shall outsource such function to a derivatives
intermediary and reveal the report in the annual compliance report; (5)1 in case the outsourced function is related to derivatives investment, the intermediary shall outsource such function to a derivatives
securities which is not reveal to public and the securities known by its business operation; “investor contact”1 2 means a person who contact, solicit, giving advice or prepare an investment plan to the
an institutional client; “inside information” means any information which substantial to the change of price of the securities which is not reveal to public and the securities known by its business
shall be opened for service at least throughout the working hours of the intermediary. (2) promote or dessiminate information on the arrangement under subclause (1) to clients; (3) visibly reveal the
INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2020 SECURITIES AND EXCHANGE COMMISSION, THAILAND Contents Executive Summary 01 04 08 15 28 58 62 70 47 Quality Assurance Review Panel Activities for Enhancing Financial Reporting Quality Summary of Audit Inspection Results A. Firm-Level B. Engagement-Level Root Cause Analysis Framework and Focuses in 2021 Essential Statistics Auditing Landscape in Thailand Executive Summary Over the past year, the Thai capital market experienced tremendous volatili...
service at least throughout the working hours of the intermediary. (2) promote or disseminate information on the arrangement under subclause (1) to clients; (3) visibly reveal the redemption prices; (4