Audit Firm Name: Subject : Monitoring Prepared by Date Particulars Reference /Guidance Notes Description A Monitoring the Firm’s Quality Control Policies and Procedures 1 Does the whole firm perform
matters relative to independence confirmations, performance evaluations, results of monitoring, client acceptance and continuance evaluation, etc? · Using electronic databases · Manual notes · Checklists
) subordinated liabilities which is unsecured and is not under the condition permitting the creditor to call for prepayment before the maturity date, only in the portion of liabilities not exceeding the
including the following liabilities: (a) subordinated liabilities which is unsecured and is not under the condition permitting the creditor to call for prepayment before the maturity date, only in the portion
advisory with execution) รวมทั้งมีการติดตามและปรับปรุงการลงทุน (monitoring & rebalancing) ให้สอดคล้องกับแผนจัดสรรการลงทุนของลูกค้า ข้อ 3 ประกาศนี้ให้ใช้บังคับตั้งแต่วันที่ 16 พฤษภาคม พ.ศ. 2562 เป็นต้นไป
(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...
information related to the establishment of the fund and the infrastructure asset for investors’ investment decision making; (3) the monitoring and management of risks related to the infrastructure asset to
enterprise information technology and operating systems for information security; (2) supervision, monitoring and examinaion of compliance with the policies, measures and the operating systems under (1); (3
any other similar condition, unless such condition has been waived by the SEC Office; (b) contingent liabilities which are clearly specified in a contract that the creditor has no rights to call for
) contingent liabilities which are clearly specified in a contract that the creditor has no rights to call for repayment within 1 year as from the date of calculation, only in the portion no more than the value