. Definition of an executive Disclosure of information Annual and quarterly financial statements as reviewed and audited by an sec-approved auditor in compliance with accounting standards of a public company
of the internal audit function has to be reviewed for independence and approved by the audit committee. (5) Review, select, and recommend to the board for nomination and shareholder approval an
ตรวจสอบขอ้มูล Accepted Rejected รวมรวมและจดัทาํรายงาน Approved เฉพาะหน่วยงานใหม่ ทาํครั งเดยีว การทวนสอบข้อมลูการทวนสอบข้อมลูการทวนสอบข้อมลูการทวนสอบข้อมลู ระดับหนว่ยงานเปน็ประจาํทกุเดอืนระดับหนว่
, executives, employees of the issuer, the directors and executives of the affiliated companies. Such criteria shall be approved by the board of directors of the issuer where the clients suitability and
existing Thai regime for approved retail funds, this circular sets out the eligibility and ongoing requirements, as well as SEC rules, which a Hong Kong Covered Entity must satisfy if it intends to seek
through expansion of customer base and income by providing financial transactions via multiple platforms to offset reduced income after the cancellation of funds transfer fees via digital channels. In
) of the Notification on Standard Conduct of Business shall include the following characteristics and shall comply with the Notifications of the Associations approved by the SEC Office: (1) supervising
approved by and registered with the Office, whose main objective is to promote and develop securities business in the category of asset management; “Custody agent” means any person whom a registered person
fund; “Registered person” means any person who is registered as a qualified fund supervisor; “Association” means any association relating to securities business, which has been approved by and registered
fund; “Registered person” means any person who is registered as a qualified fund supervisor; “Association” means any association relating to securities business, which has been approved by and registered