non-audit services, including the safeguards put in place; and · the objectives & performance evaluation criteria of the members of the audit team do not include success in selling non-audit services to
. 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
part of a network under common monitoring policies and procedures: (a) Whether the firm receives the overall scope, extent and results of the monitoring process annually; and (b) Whether the firm is
engagement. To the extent appropriate and as required by applicable professional standards, these policies and procedures should cover planning, performing, supervising, reviewing, documenting, and
company; (3) prepare the following manual or guidelines for its personnel: (a) organisational structure of company; (b) roles, duties and the extent of responsibilities in extent of each staff; (c) roles
Success) และเมื่อเรียกดูสถานะของเอกสารที่ปุ่ม “ Click ที่นี่เพื่อดูประวัติการส่งข้อมูล ” ระบบจะแสดงผลเป็นรายการที่ส่งเป็น Not confirm จนกว่าจะถึง 6.00 น. ของวันรุ่งขึ้น เมื่อระบบ จึงจะเปลี่ยนเป็น Confirmed
director or general manager to the extent that the derivatives intermediary is a financial institution which has been regulated by other governmental agencies before having obtained an approval for
Funds as a result of Merger and Amalgamation of Mutual Funds dated 26 October 2000 which are in effect prior to the effective date of this Notification shall remain in full force to the extent that they
Securities Companies to Proceed with Customer Complaints dated 1 February 2002 which have been in effect prior to the effective date of this Notification shall remain in full force to the extent that they are
the paid-up capital to the extent that causes decrease in the shareholders’ equity in the financial statement, unless approval is given by Capital Market Supervisory Board. Clause 7 In the event that