undertaking and details of asset appraisal Attachment 5: Unabridged policy and guidelines on corporate governance and unabridged code of business conduct prepared by the Company Attachment 6: Report of the
. Chapter1 General Provisions _____________________________ Division 1 Regulatory purpose _____________________________ Clause 2 Due to the undertaking of an intermediary as capital market servicer renders
Commission, the administrative panel or the Office to undertake or refrain from undertaking any act, as the case may be. (5) for the period of twelve months prior to the date the branch office starts its
operation, or not being ordered by the Securities and Exchange Commission, the administrative panel or the Office to undertake or refrain from undertaking any act, as the case may be. (5) for the period of
. Clause 4 In undertaking custody of assets of clients , a derivatives broker shall put in place systems as well as rules or procedures for custody of assets of clients to ensure that the client assets under
Licensed Derivatives Brokers (No. 3) dated 28 February 2012. 2 Clause 3 A derivatives broker shall not appoint any person as its agent to undertake custody of assets of clients. Clause 4 In undertaking
found a defect of the auditor and suspended or revoked the approval, or agreed with the enforceable undertaking, or disclosed the undertaking of the SEC Office regarding the defective performance, as the
การให้ความเห็นชอบครั้งล่าสุด ซึ่งสำนักงานพบข้อบกพร่องของผู้สอบบัญชีและได้ออกคำสั่งพักหรือเพิกถอนการให้ความเห็นชอบ หรือได้เห็นชอบกับการปฏิบัติตามบทลงโทษที่เสนอโดยบุคคลนั้นเอง (Enforceable Undertaking