Microsoft Word - hearing group limit _2_.docx เอกสารรับฟงความคิดเห็น เร่ือง การกําหนดเรื่อง sector fund และ group limit สํานักงานคณะกรรมการกํากับหลักทรัพยและตลาดหลักทรัพย (http://www.sec.or.th
in auditing and reviewing its 2014 and Q1/2015 financial statements where the auditor expressed qualified opinions due to limitation on scope of audit imposed by the company management. EIC must submit
Section 19(3) of the Securities and Exchange Act B.E. 2535 (1992) as amended by the Securities and Exchange Act (No.4) B.E. 2535 (1992) which contains certain provisions on restriction of rights and
accounting principles. Moreover, the auditor was unable to find sufficient supporting evidence to satisfy the audit procedures due to limitation on scope of audit imposed by the PICNI management in various
concerning the restriction on the right of unit holders who exceed holding limit or have vested interest shall be furnished with the following; to receive distribution, the management of dividend and the
password or keeping the password in the safe etc. and restriction for the necessary case only ▪ Specifying the compliance period and instantly when that period had lapse. ▪ Change the password strictly in
amended by the Securities and Exchange Act (No. 4) B.E. 2551 and Section 63(5) of the Securities and Exchange Act B.E. 2535 which contains certain provisions relating to the restriction of rights and
comprehensively study the contract specification, i.e. category or type of underlying assets or variables, contract size/unit/multiplier, minimum price movement, daily price limit, last trading day, settlement day
futures trading of an investor for loss limitation The derivatives broker may be unable to proceed with the order of any kind of futures trading of an investor which has an objective to limit potential loss
’ qualified opinions resulted from limitation on their scope of audit/review. Hence, the auditors were unable to obtain sufficient and appropriate audit evidence with respect to valuation of investment in PT