Exchange Commission No. 30/2558 Re: Approval of Foreign Auditors in the Capital Market. 2. I will closely monitor the applicant to perform an audit work in giving opinions on financial statements with
payment. The Company shall procure the Board of Directors to resolve to offer the private placement of shares within 30 days from the date which the Financial Statement has been completed. In case that the
amount of payment. The Company shall procure the Board of Directors to resolve to offer the private placement of shares within 30 days from the date which the Financial Statement has been completed. In
To ensure that asset management companies primarily manage funds for the investors’ benefits, SEC has revised the regulations in order to control and monitor mutual fund management by requiring
securities company shall procure a source for borrowing securities in order to enable delivery of securities in the short sale items within the time period prescribed by the clearing house under the law on
securities for itself, a securities company shall procure a source for borrowing securities in order to enable delivery of securities in the short sale items within the time period prescribed by the clearing
clearly define the roles and responsibilities of management and monitor management’s proper performance of its duties. * The board should demonstrate a thorough understanding of the division of board and
(United States) meetings more easily and promote the exercise of voting rights to control , monitor and participate in the decision making on important matters. UPDATE: At present, the Emergency Decree on
for several persons who use services of such financial institutions or several levels through an omnibus account; (e) monitor the clients’ execution of transactions closely. While reviewing and revising
order for the client to be aware of the investment risk outside the house view and shall procure evidence showing that the client has acknowledged and accepted such investment risk; (2) monitor and revise