of the Office of the Securities and Exchange Commission No. SorThor. 49/2549 Re: Rules on Exemption from Appointment of Independent Director of Securities Companies -------------------------------- By
to get thorough understanding; taking actions to ensure that the information furnished in the tender offer are correct, complete, not misleading to the users of the information, and that no information
to get thorough understanding; taking actions to ensure that the information furnished in the tender offer are correct, complete, not misleading to the users of the information, and that no information
responsible for making decision on derivatives trading and managing risks of derivatives trading, and such personnel shall have knowledge, understanding and experience that benefit responsible jobs. (2) having
sufficient personnel responsible for making decision on derivatives trading and managing risks of derivatives trading, and such personnel shall have knowledge, understanding and experience that benefit
knowledge, understanding and experience that benefit responsible jobs. (2) having policies and rules for investment including policies and measures in controlling and managing risks from derivatives trading
participants. The IOSCO CRA Principles address four key objectives that are designed to promote informed, independent analyses and opinions by CRAs.2 This, in turn, is designed to promote the three core
/ratings; ▪ Quarterly updates of third-party ratings; ▪ Daily audits of portfolio holdings undertaken by internal compliance function or external service provider; ▪ External, independent committee or
company shall have independent directors in the number of at least one-fourth of its board of directors. In cases where an independent director of a securities company deceases, resigns, or whose approval
work units. Clause 7 A securities company shall have independent directors in the number of at least one-fourth of its board of directors. In cases where an independent director of a securities company