compliance with law establishing such legal entity or law controlling business undertaking of such legal entity; (4)3 being able to show that capital market personnel performing one of the following duties has
applicant has any deficiency or inappropriateness regarding the sound business control conduct; (3) being able to maintain capital funds and set aside reserve capital in compliance with law establishing such
applicant has any deficiency or inappropriateness regarding the sound business control conduct; (3) being able to maintain capital funds and set aside reserve capital in compliance with law establishing such
consistent manner; (2) set out detailed guidelines of practice that is proper and in compliance with this Notification, with which conformity to be deemed as compliance with the relevant regulations under this
(Japan’s Stewardship Code). 12. The Investment Association, 2015. Adherence to the FRC’s Stewardship Code. 13. The United Nations, 2006. The Principles for Responsible Investment (PRI). 14. UNEP FI and the
Concerning the Japanese Version of the Stewardship Code, 2014. Principles for Responsible Institutional Investors (Japan’s Stewardship Code). 12. The Investment Association, 2015. Adherence to the FRC’s
Concerning the Japanese Version of the Stewardship Code, 2014. Principles for Responsible Institutional Investors (Japan’s Stewardship Code). 12. The Investment Association, 2015. Adherence to the FRC’s
ขยายเวลาการส่งรายงานการก ากบัดูแลการปฏิบติังานประจ าปี (annual compliance report) ต่อส านกังาน จาก 1 เดือน เป็น 2 เดือนนบัแต่วนัส้ินปีปฏิทิน เหตุผล เพื่อให้ compliance มีเวลาเพียงพอในการจดัท าสรุปผลการ
in compliance with different guideline, should it be able to demonstrate to the Office that such guideline provides for appropriate and effective operating system with acceptable standard. The
is in accordance with this guideline, its operating system shall be deemed compliant with the requirement in the aforesaid notification by the Office. The management company may proceed in compliance