the fund by the resolution of the general meeting; (3) occurrence of any event requiring a dissolution as prescribed by the fund’s articles; or (4)2 dissolution of the fund by the order of the registrar
responsibility to supervise such funds by providing that they are securities businesses, and thus requiring to be licensed from the SEC. At present, the Ministerial Regulation enabling the application for licenses
the payment of dividends if certain conditions are met prevents depletion of the issuer’s funds that are available to pay debt security holders. (b) provision requiring the issuer to maintain certain
relationships that might lead to a lack of independence. Example 5 : There were no policies requiring non-audit staff, such as consultants, external experts, outsource auditors and trainees to confirm their
, twenty of them were approved with conditions, requiring both remedial actions and a mandatory follow-up. Deficiencies were mostly found in the following areas: audits of revenues, substantive analytical
intertwined with investment style, requiring engagement over passivity regardless of how the investment is made. The Significance of ESG Engagement Michelle Edkins, BlackRock While engagement is fundamentally
personnel with incomplete training by requiring the personnel in every level to attend every session as the firms deem necessary, especially the compulsory course. In the event that some of the personnel are
TorChor. 34/2551”) and/or relevant Notification of the Securities and Exchange Commission requiring the adjustment of right. The Board of Director and/or the person(s) entrusted by the Board of Directors
requiring additional collateral, as the case may be; (3) in case of securities borrowing and lending transaction, and pledging or redeeming collateral, the confirmation statement shall be sent out within the
case of transaction in respect of trading derivatives, the confirmation statement shall be sent out within the following business day of the transaction date or the date of requiring additional