, equipments, assets and place of business of companies, financial status, customer’s trust and company’s reputation, as well as a compliance to governmental regulations. Also, it should consider to wide impacts
. SECTION 55 A person eligible to apply for an approval to undertake trust business shall be: (1) a commercial bank under the Commercial Banking Act; (2) a financial institution established under specific law
บทนำ 2 9 เอกสารรับฟังความคิดเห็น เรื่อง หลักเกณฑ์การออกและเสนอขาย หน่วยทรัสต์เพื่อการลงทุนในโครงสร้างพื้นฐานต่างประเทศ (Infrastructure Trust ต่างประเทศ) สำนักงานคณะกรรมการกำกับหลักทรัพย์และ
issued by financial institution under the law on interest on loan of financial institution ; (d) investments in securities, derivatives and other financial instruments; (e) receivables of securities
……................ working for ……..(NAME OF AUDIT FIRM)......, wish to apply for an approval of the SEC Office to be an auditor of businesses under the Securities and Exchange Act B.E. 2535 (1992) and the Trust for
) financial prudence An intermediary shall maintain substantial and adequate financial resources continuously; (5) market conduct An intermediary shall undertake business in keeping with proper standards of
Commission No. SorThor/Nor. 26/2549 Re: Forms of Financial Statement of a Securities Company ___________ By virtue of Section 106 of the Securities and Exchange, Act B.E. 2535 (1992), and Clause 1 of the
securities for sale), financial advisor, lead underwriter, co-underwriter, the effective date of the Registration Statement, the conditions for cancellation of the offer for sale in the case that the amount of
agreement with accrued interests; (3) promisory notes and bill of exchange issued by financial institution under the Law on Loan Interest of Financial Institution ; (4) investments in securities, derivatives
firm, principals, staff or any immediate family members; · have any direct financial interests in audit clients or its affiliates? · Any indirect interests including being beneficiaries of a trust