Characteristics of Company Directors and Executives dated April 23, 2010. Such person shall thus be removed from any director or executive position of issuing or listed company and shall not maintain in such
investment unit brokerage to maintain ongoing capital at a ratio appropriate for their business and in line with international standards. In addition, the new rules would enhance business continuity while
, focuses on the additional objective of the CMDF establishment ? permission for the CMDF to give financial support for the SET as deemed necessary to ensure the bourse's ability to maintain its
under appropriate oversight and to maintain confidence of investors who use the services. The consultant paper is available at https://www.sec.or.th/TH/Pages/PB_Detail.aspx?SECID=678
to maintain the qualifications as head of audit firm or partner or equivalent position from being terminated as capital market auditor immediately as long as they proceed to rectify and resume the full
Confidential information CRAs should maintain in confidence all non-public information communicated to them by any issuer, or its agents, under the terms of a confidentiality agreement or otherwise under a
(2003) . Clause 3 Maintenance of the net capital by a securities company shall be in accordance with the criteria as follows: (1) securities company shall maintain the net capital at the end of any
a securities company shall be in accordance with the criteria as follows: (1) securities company shall maintain the net capital at the end of any business day in the amount not less than fifteen
that the derivatives fund manager will appropriately manage the investments for investors to protect and maintain the best interest of investors under acceptable risk exposure, it is necessary that the