on Standard Conduct of Business with respect to communication with and providing services to clients in the following matters: (1) compilation and assessment of client information shall comply with the
) operating system for communications and services shall comply with the regulations under Chapter 1/1; (2) compilation and assessment of client information shall comply with the regulations under Chapter 2; (3
completion (the extension is included) 2. Involved Parties Contractor : the contractor will be selected and signing the contract after finishing the compilation of building construction blueprints. There is no
finishing the compilation of building construction blueprints. There is no relationship between the contractor and the Company or not connected persons as defined under the Notification of the Capital Market
resource, the evaluation results are profoundly satisfactory. It is the reflection of the perseverance and prudence of the audit firm’s leader, as well as its personnel, to collaboratively remediate the
in 2016 and 2017 showed that the majority of the firms’ leaders focused more on the root cause analysis of the deficiencies, which clearly manifested their perseverance and attention to improving and
UNOFFICIAL TRANSLATION Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. Notification of the Office of the Securities and Exchange Commission No. Sor Nor. 87/2558 Re: Rules, Conditions, and Procedures for Management of Retail Funds, Mutual Funds for Accredited Investors, Mutual Funds for Institutional Funds, and Private Funds ______________________ By virtue of Clause 6, Clause 8, and Clause 9 of the Notification...
and means as determined by the intermediary, that they are assigned by the intermediary to provide services relating to capital market products. Division 1 Compilation and Assessment of Client