the essential issues of the information of such mutual fund rating; (2) having reliable shares holding structure, organization structure, scope of business operation, directors, managers, department
Appropriateness of selected accounting policies (paragraph number........) ( 2.1.2 Application of the selected accounting policies (paragraph number........) ( 2.1.3 Appropriateness or adequacy of disclosures in
conducts a business placed with trust and accountability from the client who is the owner of money. Consequently, the management should have essential role in prescribing investment management policy under
securities company with an acceptable standard for Operational Control and Security of the information technology of a securities company. The essential of this guideline is compose of: 1. Policy of Security
the selected persons shall be proposed to the Minister for issuance of the order of appointment. CHAPTER 2 ISSUANCE OF SECURITIES ______________ DIVISION 1 APPROVAL FOR THE OFFERING OF NEWLY ISSUED
refuse to the counter trader. Clause 11. The securities company shall not mislead counter trader about the essential details of securities trading, by refrain from information disclosure, distort
terminated due to the unsuccessfulness of the mediation, as the case may be. If the claimant fails to notify the list of his selected arbitrators within such period of time, it shall be deemed that the
Translation (Translation) PAGE (Translation) -45- Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. Notification of the Office of the Securities and Exchange Commission No. SorThor/Nor. 26/2549 Re: Forms of Financial Statement of a Securities Company ___________ By...
accordance with the guidelines for renewal of approval for investor contacts as prescribed by the Office. The prescription is to ensure that investor contacts who play vital roles in the capital market will
post issuance reviews of selected engagements as part of its monitoring procedures? If yes, please provide us engagements review program and the scope of the review. B Evaluating, Communicating, and