. Reformation and Legal Framework Extent of director liability index Thai law protects the right of minority investors to bring an action against any director who acts or omits to act in any way that constitutes
engagement. To the extent appropriate and as required by applicable professional standards, these policies and procedures should cover planning, performing, supervising, reviewing, documenting, and
. This amendment approved by the Capital Market Supervisory Board Meeting No. 2/2565 on 15 February 2022 aims to resolve the limitations related to the underwriter’s securities allocation to be in line
Introduction 1. Objectives of the Investment Governance Code During the past decade, global organisations, corporations, and civil society organisations have strengthened focus on measures to address and resolve
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
from the day the testing is completed. Clause 25 In cases where there is a change to a computer system relating to trading services with respect to derivatives to the extent that it affects the business
technical panel to provide consultations and resolve Accounting and Auditing issues? If yes, please describe the composition of the panel. 3 Has the firm established policies and procedures for dealing with
complexity of engagements, significant engagement risks and audit partners’ other responsibilities. According to the SEC’s inspections, audit firms continuously put effort to resolve this problem in a variety
information related to provision of services as a derivatives clearing house sufficiently to the extent that members or their clients, or any involved persons understand risks from use of the services, and