trustee and the REIT manager shall perform their duties with the scope of authority, duty and responsibility as stated in the relevant particulars of the authority and duty of the trustee and the REIT
operation as executive, including a person who holds the position with the same authority as such person of the company. “registration statement” means a registration statement for an offer for sale of
capital market products, investment management, management of the intermediary ’s branch office, supervising account of clients and making investment decisions for clients , operational function, compliance
capital market products, investment management, management of the intermediary’s branch office, supervising account of clients and making investment decisions for clients, operational function, compliance
management) e.g. board of directors, executive committee, audit committee, remuneration committee, and authority of each committee; 9.3 REIT manager meeting: (1) specify meeting terms, meeting procedures
capital market products, investment management, management of the intermediary’s branch office, supervising account of clients and making investment decisions for clients, operational function, compliance
Authority ประเทศนิวซีแลนด์ และ Mr. Gerard Fitzpatrick, Senior Executive Leader จาก Australian Securities and Investments Commission (ASIC) ประเทศออสเตรเลีย
นางสาวรื่นวดี สุวรรณมงคล เลขาธิการ สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) และ Mr. Ian Johnston, Chief Executive, Dubai Financial Services Authority (DFSA) เมืองดูไบ สหรัฐอาหรับเอ
in the matter of auditing financial statements; (4) re-examining and reviewing compliance of rules; (5) supervising the internal control unit; (6) performing any other duties assigned by the SEC. In
violation The SEC Office issues an administrative order to enforce any regulated person. The SEC Office presents the case to the competent authority. End Administrative Order Issuance Administrative Sanction