consult the auditor before conducting review in depth. Nonetheless, there was no indication that the audit committee failed to perform the duties to assist the wrongdoing of TUCC executives. The SEC
pledging and debt repayment capability of customer, shall not apply to the service of derivatives broker for institutional investor. Chapter 2 Organization Structure, Working System, and Operational Control
derivatives trading for customer, Clause 19, Clause 20, Clause 21, Clause 22 and Clause 25 only with respect to the review of pledging and debt repayment capability of customer, shall not apply to the service
– in case of a listed company Criteria for approval: can be divided into four cases, depending on the nature of share price indication based on the resolution of the shareholders' meeting. 1 st case
with PP criteria (Notification No. Tor Jor 72/2558), it may or may not file for approval to the SEC (depending on the price indication/whether the price is at a discount), and must comply with the
. • Recognise that the past performance of an investment is not an indication of future returns. 4 A. AWARENESS AND KNOWLEDGE, i.e. can B. SKILLS AND BEHAVIOURS, i.e. will C. ATTITUDES, CONFIDENCE AND MOTIVATIONS
of companies (the “Project”) which aims to clearly separate the business line within OISHI’s group of companies, enhance the management and administration flexibility and increase the capability of the
equipped with knowledge and capability in trading futures contracts and protecting their own interest. Notification of the Securities and Exchange Commission No. KorThor. 3/2551 Re: Additional Determination
instruments of which the credit was not rated and found defects in consideration of important information or factors with respect to the issuer, and this affected its capability to repay the principal and