portfolio managers who own the security, do they all agree on the nature and extent of the problem? } Do our firm’s clients own other securities of this company (for example, its debt instruments)? If so
securities’ proceeding to solve a problem. (4) proceed with the complaint in Clause 3 and Clause 4; (5) store evidentiary documentation involving the complaint and proceeding for no less than two years from
’ proceeding to solve a problem. (4) proceed with the complaint in Clause 3 and Clause 4; (5) store evidentiary documentation involving the complaint and proceeding for no less than two years from the date of
find that sufficiently high earnings persistence drives a string of earnings in the absence of a strong time trend in earnings. 6/29/2015 9 1st Question • To the extent that investors employ past
that such redemption may cause liquidity problem to the mutual fund and thus affects other unitholders. For, funds of funds and feeder funds investing in large overseas funds, however, the redemption may
Brokerage: Investment Units, failed to comply with the rules, conditions and procedures as specified in the notification by failing to specify the extent and procedure of outsource function related to
/preventive courses of actions. 16 Securities and Exchange Commission, Thailand Nonetheless, this problem still persists in some audit firms. For example, we found that some firms compensated their audit
decision making by company boards and should reflect the extent to which this is embedded practice. Sustainability or corporate social responsibility (CSR) reports serve a useful purpose for multiple
โดยใน DB2019 ประเทศไทยได้คะแนนในหัวข้อนี้ 6/10 และได้คะแนน 5/6 ใน DB2020 Best regulatory performance: India Kazakhstan and Malta 2.2 Extent of ownership and control (การเป็น https://www.sec.or.th/TH