Bangkok, April 20, 2016 ? The SEC is seeking public comments on draft amendments to the rules concerning the categorization of salespersons and sales process of capital market products to promote

Bangkok, April 30, 2014 ? The SEC is seeking public comment on revision of rules governing financial advisors (FA) to enhance more clarity of rules and promote FA independence. The proposed revision

shareholders’ approval, (2) inclusion of financial assistance to the transaction list subject to material transaction rules, (3) repeal of the categorization of related party transactions to subject them to the

client to acknowledge the result of the client ’s categorization, rights, restrictions and risk level, including right to request for changing categorization to be treated as retail investor. Clause 34 For

the Accounting Supervisor And Approval of divestment of investment BS Myco Biotech Company Limited. 10/09/2021 21:08 Notification of the Resignation of Independence Director and Chairman of AC, the

matters relative to independence confirmations, performance evaluations, results of monitoring, client acceptance and continuance evaluation, etc? · Using electronic databases · Manual notes · Checklists

SEC Secretary-General Rapee Sucharitkul revealed that “the financial reports are crucial for investors’ investment decision-making. The independence of auditors, which plays an important role in

Audit Firm Name: Subject : Ethical Requirements Prepared by Date INDEPENDENCE, INTEGRITY AND OBJECTIVITY: A. Independence Procedures Checklist: Obtain a copy of the firm’s documented ethics

responsibility of all independence issues? If yes, Does he/she have the seniority, experience, authority and resources and take responsibility for the adequacy of firm’s procedures? 2 For firms without designated

accordance with international standards. This includes (i) calculation of ratio limit, (ii) categorization of fund types to better reflect investment risks based on net exposure instead of investment value