, stronger protection for shareholder rights, whistle blower protection, and provisions to increase the independence and professionalism of the Securities and Exchange Commission (SEC). The SEC has also
difficult or contentious matters or resolving differences of opinion? If yes, how does the firm ensure the independence and confidentiality of service providers? _x000D_&1#&"Tahoma"&12&KC0C0C0 SEC
independence criteria as specified by the SEC Board; (3) Undertaking of Other Businesses: Requiring any digital asset business operators who wish to undertake other businesses to obtain an approval from the
(including independence, quality standards, etc.)? Does the firm (or the network) have special trainings tailored for each staff level (including individuals from the service delivery center within the firm or
affirm … action that is already being taken by the company. Vote to advise … on the substance and directionality of the resolution, rather than the intricate details. Voting in favour of shareholder
issue of political independence of the securities supervisor through the creation of a formal governing body (a board, council, or commission) whose members are given fixed terms of appointment. If the
that may cause a lack of independence in acting as the fund supervisor. Clause 4. Prior to the effective date of this Notification, any persons who act as a fund supervisor shall continue its operation
way that may cause a lack of independence in acting as the fund supervisor. Clause 4. Prior to the effective date of this Notification, any persons who act as a fund supervisor shall continue its
way that may cause a lack of independence in acting as the fund supervisor. Clause 4. Prior to the effective date of this Notification, any persons who act as a fund supervisor shall continue its
ปรึกษาการลงทุนทราบ · (ข) หลักปฏิบัติในการให้คำแนะนำอย่างเป็นอิสระ (independence and objectivity) ( (ค) หลักปฏิบัติในการปฏิบัติต่อลูกค้าประเภทเดียวกันอย่างเท่าเทียมกัน (fair treatment) · (ง) หลักปฏิบัติใน