this case also revealed that there were weaknesses in UBS?s internal control and compliance systems which failed to detect the irregularities in this matter which had continued for over nine months. The
Act B.E. 2535 (1992) (SEA). The audit committee twice reported that no wrongdoing was found and that the inadequacies in TUCC?s internal control, without any sign of fraud. The SEC probed into the case
according to the recommendation of the Nomination and Remuneration Committee since they are knowledgeable and experienced, which would benefit to the Company’s operations 6. Propose to the 2020 Annual General
) securities underwriting; (5) mutual fund management; (6) private fund management; (7) other businesses relating to securities as specified by the Minister upon the recommendation of the SEC. "securities
investors to examine or for submission to the Office upon request. Clause 4. The mutual fund management company shall arrange to have a statement in the summary prospectus under warnings and recommendation
warnings and recommendation for investment in investment units section that the investors can examine the guidelines for the exercise of voting rights as well as the implementation of the exercise of voting
recommendation on investment in infrastructure assets, as well as to manage infrastructure assets invested in by the trust. The investment committee under Paragraph 1 shall consist of the following persons: (1