wish to contribute appraisal services for capital market transaction. "Lead appraiser" means a personnel of the appraisal company in capital market affixing the signature in the appraisal report for
company’s expense. 2.0 Leadership and independence 2.1 Chair and CEO The board should have independent leadership. There should be a clear division of responsibilities between the chairmanship of the board
. Implementation 34 5. Moving Forward 35 THE INVESTMENT GOVERNANCE CODE PRINCIPLES Principle 1 Adopt a Clear Written Investment Governance Policy 37 Principle 2 Properly Prevent and Manage Conflicts of Interest and
contribute to good stewardship and promote the delivery of the institution’s or its clients’ investment objectives. They should provide a clear rationale for their approach. 4. The Financial Services Authority
Some business operators wish to provide services of specific securities business, for example, brokerage, dealing and underwriting of equity instruments or private fund management, but are unable to
funding through capital market’s fundraising mechanisms and tools. To support liquidity of businesses affected by the COVID-19 pandemic who wish to raise fund using REIT buy-back, the SEC has considered
, conditions and procedures as specified in the notification of the Capital Market Supervisory Board by failing to communicate with clear and reliable information, and without misleading information. SEC Act
(“UOBAM”) failed to order or act duty resulting in UOBAM failed to communicate with clear and reliable information, and without misleading information. SEC Act S.283 paragraph 1 Settlement Committee
transactions. The board should adopt an ethics and conflicts of interest policy consistent with applicable law and standards (including fiduciary duties), and establish clear guidelines and procedures for
procedures for change of agent to collect and receive payments of debt. Currently, regulations have not been prescribed for the said matters.To ensure that the private sector will have clear guidelines for