period, as previously issued, included a qualified opinion, a disclaimer of opinion, or an adverse opinion and the matter which gave rise to the modification is unresolved ( 2.3.1 corresponding figures are
information among work units and personnel; and internal control measures to audit and counterbalance the operation and to prevent any transactions which may give rise to a conflict of interest, including
register the amendment to the fund’s articles within fifteen days after the date of passing of the resolution of such amendment and the amendment shall not take effect until the Registrar has effected the
which the possible effects on current period’s figures exist, where: ( 2.3.1 corresponding figures contain material misstatements but there is no effect on current period’s figures (paragraph
be in effect from 1 December 2560 (2017) onwards. Notified this 31st day of October 2017. (Mr. Voravidh Champeeratana) Chairman Securities and Exchange Commission
DRAFT (Translation) DERIVATIVES ACT B.E. 2546 (2003) ( (As Amended) BHUMIBOL ADULYADEJ, REX., Given on the 3rd Day of July B.E. 2546; Being the 58th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law governing derivatives transactions; Whereas this Act contains certain provisions relating to the restriction of rights and liberties of persons, which Section 29, in conjunction with Section 35, Section 36, Se...
significant case effect to the security of the information technology [M] · proving a method or compliance guideline support to compliance with the prescribed policy [M] · determining clearly duties and
evaluations and at appraisals – what is emphasis on commercial objectives, or technical ability? 4 What is the risk of inexperienced people being out of depth at client (and effect on their dealings with client
. Rules and Periods for Report Submission of Securities Companies dated 18 May 1992 which have been in effect prior to the effective date of this Notification shall remain in full force to the extent that
Remedying Identified Deficiencies 1 Does the firm evaluate the effect of deficiencies noted as a result of monitoring process and determine whether they are either 1) Instances that do not necessarily