company. Clause 2. A securities company may appoint or allow another securities company’s executive to be or perform duty as its executive or advisor upon being granted approval from the Office on condition
company. Clause 2. A securities company may appoint or allow another securities company’s executive to be or perform duty as its executive or advisor upon being granted approval from the Office on condition
be or perform duty as its executive or advisor upon being granted approval from the Office on condition that the securities company is able to demonstrate establishment of the organizational structure
functions are performed for any third parties or for the trustee, securities companies, commercial banks or financial institutions established under specific law, and shall include the person performing duty
perform duty, manager of securities company shall perform duty as the person responsible for the operation of such branch office. Securities company shall maintain evidence documents relating to operation
Mutual Fund Manager 19. Report/Form (Notification of Securities and Exchange Commission) Form 133-2 Report on the Commencement Date or Temination Date of Performance of Duty as Private Fund Manager 20
misconduct in violation of Section 170 of the Securities and Exchange Act B.E. 2535 (1992) (SEA) was dishonest duty performance that caused damage to the company or created a benefit for himself, as specified
: Principle 1: Institutional investors should adopt a clear written investment governance policy suitable for their business nature, including measures and procedures for clear duty performance at all levels
Bangkok, 6 February 2024 – The Securities and Exchange Commission (SEC) has provided an update on the progress of initiatives aimed at enhancing the quality of listed companies and the duty
กรรมการอิสระซึ่งสามารถดูแล ตรวจสอบ และถ่วงดุลการบริหารความเสี่ยงและการควบคุมภายในได้ ในสัดส่วนที่เหมาะสม ทั้งนี้ เพื่อให้การประกอบธุรกิจเป็นไปเยี่ยงผู้ประกอบวิชาชีพในลักษณะเดียวกันจะพึงกระทำ (fiduciary duty