offering from the SEC Office, provided that the company shall disclose sufficient information and obtain an approval from the company’s shareholders.
SEC Office. Clause 11 An intermediary intending to outsource function related to business operation to a third party shall obtain an approval from the SEC Office before proceeding with the outsourcing
activities on mutual fund investment will take place, including seminars, workshops and booth exhibition. The event participants will have a chance to obtain information and investment advice from the business
as well as arrange to obtain approval from its shareholders’ meeting on the entering into the connected transaction with votes of not less than three-quarters of the total votes of the 6 shareholders
duty to disclose the information memorandum regarding such transaction to the SET and appoint an independent financial advisor to provide opinions on the transaction as well as arrange to obtain approval
must contain the scope or policy on investment, investment restrictions, and the customers’ right to obtain intelligible and adequate information on the private fund management. Furthermore, any
customers’ objectives and needs, each private fund management contract must contain the scope or policy on investment, investment restrictions, and the customers’ right to obtain intelligible and adequate
management contract must contain the scope or policy on investment, investment restrictions, and the customers’ right to obtain intelligible and adequate information on the private fund management. Furthermore
Activity Report 61En INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2018 INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2018 Executive Summary....................................................................................02 Quality Assurance Review Panel........................................03 Activities for Enhancing Financial Reporting Quality.................................................................................................07 Summary of Audit Inspection Results A. Firm-Le...
going to obtain approval as auditor in the capital market work part-time for the audit firm, such audit firm shall have not less than two certified public accountants; (b) in cases where the audit firm