? 7 Do these written policies and procedures cover the following general matters: · ensure communication of independence requirements to its personnel; · require principals and staff to be alert
will also require NMG Chairman of the Board to make clarification according to normal procedure. If non-compliance with the said provision is found, the SEA prescribes the penalty under the first
require financial advice and planning service from advisors who are knowledgeable, provide quality services and are considerate of interest of the customers. Hence, the “Wealth Advice for All” project was
. The current rules require both the issuers as well as all affiliates that engage in the main business of a group of companies to meet the qualifications and disclose information in the Filing Form
transaction volume to use of standby subordinated loan facility to recover NC shortfall on a temporary basis which will reduce costs for seeking short-term finance. (2) To require the business operator
listed company requires different identification documents from the shareholders at the AGM, especially those who are foreign juristic persons. For example, some companies may require a certificate from a
lawsuit against Surin in the Civil, pressing for civil sanctions with the highest legal penalty. SEC has sought the Court’s ruling to require Surin to pay a civil fine, compensate the benefits received
assets as a tool to back money laundering. Moreover, certain types of digital assets are investment assets that require investors to study and thoroughly understand associated risks. The BOT therefore does
in each type of assets. In this regard, asset management companies may choose to invest in mutual funds that concentrate on a specific type of assets and require specific expertise of fund managers
the principle and the draft regulation which would require the auditor to report to the Audit Committee of securities company** or the Audit Committee of listed company any suspicious circumstance