instruct the SET to issue or amend its rules, or to act or omit to act, with a view to preventing damages. Securities Trading Center is another type of secondary market. Any company wishing to establish
clause 3(3) and (4). Clause 5 Any person intending to establish limited company or public limited company for operating securities business in the category of private fund management shall file an
work perspective in its job descriptions and evaluation forms? 6 Does the firm establish the career progression route and how are senior managers/directors promoted – what criteria are used? What is the
2: Guidelines and Explanations 3.1 The CG Code Principles Principle 1: Establish clear leadership role and responsibilities of the board Principle 2: Define objectives that promote
quality. To that end, the SEC has been focusing on regularly building capacity of stakeholders in the financial reports preparation process with an aim to establish a balanced financial reporting ecosystem
Operational Control _____________ Clause 4 A securities company shall establish efficient systems for internal control, risk management and prevention of conflicts of interest, and shall have a written code of
Clause 4 A securities company shall establish efficient systems for internal control, risk management and prevention of conflicts of interest, and shall have a written code of conduct approved by the board
undertaking of the derivatives business, as well as establish control and monitoring measures to ensure that the operations are carried out as required. Clause 6/1 The derivatives broker shall put in place
, so as to efficiently accommodate the undertaking of the derivatives business, as well as establish control and monitoring measures to ensure that the operations are carried out as required. Clause 6/15