the rules and the time specified by the Office. Such publications or disclosure shall be displayed in a prominent place at the office of such securities company. A report together with a copy of such
each accounting period of six months. Such publications shall be posted in a prominent place at the office of such securities company, published in at least one local daily newspaper, and one copy shall
assurance or guarantee to an entity subject to a rating action, obligor, originator, underwriter, arranger about the outcome of a particular credit rating action. This does not preclude the CRA from
investment areas, management of unallocated proceeds and frequency of periodic assurance engagements. (user can refer from guidelines on bond issuance and offer for sell of green bond regulated by related
; (b) a specified property fund; (2) the advertisement must be made in print or electronic media; (3) presentation of the estimated return or the auto-redemption rate shall not be more prominent than
electronic media; (3) presentation of the estimated return or the auto-redemption rate shall not be more prominent than other information contained in such advertisement. In case of specified property fund
electronic media. The presentation of such information shall not be more prominent than other information in the advertisement, and shall have the following statements: (a) a warning stating that “the past
following rules: (1) The advertisement which presents return or past performance of the fund shall be made in print or electronic media. The presentation of such information shall not be more prominent than
(Internal) SEC Classification : ใช้ภายใน (Internal) ความส าคัญ บทบาท และ โอกาสของผู้สอบบัญชี 10 ESG strategy ESG-in-process ESG assurance governance & control SEC Classification : ใชภ้ายใน (Internal) SEC
, and (c) continuing education, quality assurance and investigative and disciplinary systems. 5. The system of public oversight shall have the right, where necessary, to conduct investigations in relation