undisclosed except in the case of disclosure by virtue of law or for the benefit of the financial institution system or the public; (e) members shall not help or support fraudulently any act deemed to be an
presented in the latest audited financial statement is in a positive position. If there is a capital increase after such financial statement, the increased amount could be added to the shareholders’ equity
communicating the results of each engagement. It should also cover consultation during the course of engagement. Following is the checklist that will help to assess engagement performance of the firm. Particulars
suit the market needs and to serve customers better. In addition, this will help reduce personnel training costs for securities companies which regularly organize in-house training. 3. Duration of
prior approval from the Office, which will help facilitate their business operation.
decreasing capital and subsequently increased its capital under the assistance of a State agency or financial institution: O Yes (please specify) I am or have been an executive of ……………….……… which was
rectify the damaged financial position by decreasing capital and subsequently increased its capital under the assistance of a State agency or financial institution, unless exempted by the SEC: O yes O being
the efficiency of corporate governance and that the Company’s corporate governance standard increased in accordance with the CG Code 2017 for listed companies; 6.3.2 In case of not yet implementing the
UNOFFICIAL TRANSLATION Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 30 Notification of the Office of the Securities and Exchange Commission No. Nor Por. 3/2559 Re: Guidelines for Establishment of Information Technology System ______________________ Whereas the Notification of the Capital Market Supervisory Board No. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems...
(UNOFFICIAL TRANSLATION) Codified up to No.12 As of 6 August 2018 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 43 FNotification of the Capital Market Supervisory Board No. Tor Nor. 1/2554 Re: Rules, Conditions and Procedures for Establishment and Management of Infrastructure Funds _____________ By virtue of Section 16/6 of the Securities and Exchange Act B.E. 2535 (1992), as amended by the Securities and Exc...