: · communications with existing or previous professional accountants; · inquiry of personnel/third parties such as bankers, legal counsel and industry peers; · background searches. And do the considerations include
(Translation) PAGE 112 (Translation) Securities and Exchange Act B.E. 2535 (As Amended) _________________ BHUMIBOL ADULYADEJ, REX., Given on the 12th day of March B.E. 2535; Being the 47th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law on the securities and exchange; Be it, therefore, enacted by His Majesty the King, by and with the advice and consent of the National Legislative Assembly functioning as...
person who is responsible for supervising the investigation · Has sufficient and appropriate experience · Has authority within the firm ; and Is otherwise not involved in the engagement? 112
under the first paragraph shall consist of three persons, one of whom must be an inquiry official under the Penal Procedure Code. When the committee has settled any case and the alleged offender has paid
inquiry official or issues a letter notifying the possession of characteristic of lacking trustworthiness, as the case maybe, until such person no longer possesses such prohibited characteristics; (2) in
final order or judgment relating to the specified matter [in the Clause thereof], or [ii] when the SEC Office accuses such person to the inquiry official or issues a letter notifying the possession of
gives false testimony to the competent official, if the false testimony is material to the investigation or the proceeding under this Act, shall be liable to imprisonment for a term not exceeding one year
DRAFT (Translation) DERIVATIVES ACT B.E. 2546 (2003) ( (As Amended) BHUMIBOL ADULYADEJ, REX., Given on the 3rd Day of July B.E. 2546; Being the 58th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law governing derivatives transactions; Whereas this Act contains certain provisions relating to the restriction of rights and liberties of persons, which Section 29, in conjunction with Section 35, Section 36, Se...