. Opinions of the executives on the audit quality control in the previous accounting period 7 6. List of audit engagement clients in the previous accounting period and the associated fee 7 7. Safeguards
Notification of the Securities and Exchange Commission Re: Rules and Period for Submitting a Report of the Securities Company, dated 18 May 1992, the Office of the Securities and Exchange Commission hereby
Office; (3) calculate the market prices of derivatives held by a client including any profit or loss from positions on derivatives in order to adjust the margin value of the client at least at closing time
variuos companies into a trading system at the same time and last longer than a period specified by the Stock Exchange of Thailand, it may be a part through which enables the Stock Exchange of Thailand
Company’s name: …………………………………………. (Offering period: ...............................) Part 1 Executive summary Part 1 Executive Summary Summarize the financial position and the operating results during the
· Forms 2 Does the firm have policies and procedures for the retention of firm’s documentation for a period of time sufficient to permit those performing monitoring and review procedures to evaluate the
Commission, guidelines, orders and circulations issued by virtue of those prescribed Notifications in the Notification of Capital Market Supervisory Board thereof, shall be repealed. For the preliminary period
Section 147 Securities and Exchange Act B.E. 2535 Section 147. During any two year period, if any securities company does not undertake securities business of the type so licensed in the volume as
Section 106 Securities and Exchange Act B.E. 2535 Section 106. A securities company shall prepare a balance sheet and a profit and loss account for each accounting period of six months in the form
Section 109 Securities and Exchange Act B.E. 2535 Section 109. The Office may require any securities company to submit any report or present any document for any period or from time to time as