Section 97 Securities and Exchange Act B.E. 2535 Section 97. A securities company shall maintain capital adequacy in accordance with the rules, conditions and procedures as specified by the SEC.
the CPD records? 9 Does the firm maintain the list of persons who didn’t comply with the mandatory and firm’s CPD targets and its plan for correcting the situation? 10 Whether CPD/training is covered in
been closely monitoring the situations and collaborating with the SET to allow the SET to act and consider adjusting the existing measures to align with the current situations. For example, revising the
operation; risk management; selection and monitoring of its personnel assuring that they have and maintain such qualifications that correspond to the nature of their duties and internal control measures to
control and compliance with good business practices; (3) being able to maintain capital funds and reserve fund in compliance with the law establishing or controlling business undertaking of the applicant
1 25 May 2020 Subject: Notification on Resolution of the Board of Directors’ Meeting No. 5/2020, Change of Directors and Directors’ Power, Entering into Connected Transaction, Entering into Transaction on Acquisition of Assets and Determination of the 2020 Annual General Meeting of Shareholders To: Director and Manager The Stock Exchange of Thailand Enclosure 1. Information Memorandum on the Acquisition of Assets (Schedule 1) and the Entry into Connected Transaction of Nation Broadcasting Corpor...
disclosure CRAs should make disclosure and transparency an objective of their ratings activities; and Confidential information CRAs should maintain in confidence all non-public information communicated to them