”, “registration statement”, “bill”, “short-term bill”, “high net worth investor”, “institutional investor”, “short-term bond” and “structured note” shall have the same definition given to them under the
, economics or law. Clause 2. The directors and executives of the securities company shall have the following qualifications: (1) 4 having the academic qualifications and work experience in accordance with the
3. The directors and executives of the derivatives business operator shall have the following qualifications: (1) 3 having the academic qualifications and work experience in accordance with the
plaintiff brings a civil lawsuit in order to protect the right of oneself and a group of persons who have the same rights deriving from the same facts and legal principle. In 1995, Class Action was
plaintiff brings a civil lawsuit in order to protect the right of oneself and a group of persons who have the same rights deriving from the same facts and legal principle. In 1995, Class Action was
services in the particular circumstances This checklist reviews such policies and procedures of the firm. Sr. Particulars Reference /Guidance Notes Description A Client Acceptance: 1 Have there been any
on related party transaction. Audit committee shall have independence as basic qualifications as required by the SET notification, meaning that audit committee shall be independent director. Q: Can
important matters for consideration on the firm’s competence to conduct the audit, for example: - Firm personnel have knowledge of relevant industries or subject matters; - Firm personnel have experience with
the Office of the Securities and Exchange Commission have suggested investment in the offered securities; nor contain any assurance in relation to the value or returns on the offered securities; nor
preserving retirement savings. Over the past several years, the importance of corporate governance has been highlighted by an increasing body of academic research. Studies have shown that good corporate