become aware of the failure to maintain the capital; (2) submit the corrective plan or guideline to the SEC Office within ten days from the day it is or ought to be aware of the failure to maintain the
suitability for investment and the relevant risk exposure. If you are in any doubt as to the action you should take, you should consult your legal, financial, tax, or other professional adviser. A copy of this
regulators, credit rating operate and the manner in which opinions of CRAs should be used by market participants. The IOSCO CRA Principles address four key objectives that are designed to promote informed
Whistleblower Audit committee About us Corporate Governance Code 2017 Detail Content Principle 4 Ensure Effective CEO and People Management Principle 4.1 The board should ensure that a proper mechanism is in
Whistleblower Audit committee About us Corporate Governance Code 2017 Detail Content Principle 5 Nurture Innovation and Responsible Business Principle 5.1 The board should prioritise and promote innovation
before making decisions to invest in initial public offerings (IPO). SEC Deputy Secretary-General Prakid Punyashthiti said: ?Investors should study the information of any financial instument of their
“Asset management companies can now submit an application for approval of SSF establishment from 3 February 2020 onwards. SEC will speed up the approval process. In this regard, investors should
contributors and the editor of this publication accept no responsibility for loss occasioned by any person acting or refraining from action as a result of any views expressed in these pages. No one should act
Whistleblower Audit committee About us Corporate Governance Code 2017 Detail Content Principle 8 Ensure Engagement and Communication with Shareholders Principle 8.1 The board should ensure that
beneficiaries. These responsibilities include consideration of the risk profiles of Investee Companies. Institutional Investors should ensure to invest in companies that integrate Environment, Social and