, (2) prohibit the offenders from trading securities on the SET or entering into derivatives contracts on the Derivatives Exchange, (3) ban the holding of director or executive position at any issuing
16.1 The company has a process to monitor the compliance with code of conduct and prohibit the executives and employees from conducting themselves in a manner is likely to cause conflicts of interest
causing the coin can only trade on Bitkub’s exchange and experiencing a very unusual price adjustment. Since Bitkub’s compliance system failed to supervise the product department to monitor the properties
entail ongoing surveillance, once a credit rating is published, the CRA should monitor the credit rating on an ongoing basis by: a. reviewing the creditworthiness of the rated entity or obligation
define the roles and responsibilities of management and monitor management’s proper performance of its duties. Guidelines 1.4.1 The board should adopt a written policy (such as a charter) that clearly
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
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
credit ratings. Except for a credit rating that clearly indicates it does not entail ongoing surveillance, once a credit rating is published, the CRA should monitor the credit rating on an ongoing basis by
offering companies and listed companies on the SET and the mai. The proposed amendments would prohibit such companies from operating business as an investment company to clarify their permissible business
investment company, and to prevent legal evasion as well as to protect the interest of shareholders and investors. Essentially, the proposed amendments would: (1) Prohibit both Thai and foreign companies