directors and chief executives: specify whether or not the selection of persons to be a director and chief executive is through a nominating committee, the number of directors representing each group of major
share of my audit clients or its related entities; 2. My immediate family members, including spouse and children, and I are not director, executive or representative of my audit clients or its related
providing services under Paragraph 1, the derivatives dealer shall ensure that a chief executive officer or a person assigned by the client has already granted consent before the client engages in derivatives
etc. [M] · Providing an oversee system the operation of officer under the policy strictly [M] · providing an inspection and assessment of the sufficiency of policy and internal control information
. ------------------------------ Notification of the Capital Market Supervisory Board No. TorNor. 77/2552 Re: Rules, Conditions, and Procedures for Liquidation of Mutual Funds as a result of Merger or Amalgamation of Mutual Funds By virtue of
Commission Notification of the Office of the Securities and Exchange Commission No. OrThor/Nor/Khor. 11/2548 Re: Practical Guideline on Application for Approval and Approval for Appointment of an Executive of
licensed to undertake securities businesses under the law on securities and exchange; “Executive” means director, manager or person with power of management; “Person with power of management” means executive
service provider is required; (2) a complete and updated summary report of the operational function outsourced to the service provider shall be prepared and submitted to the chief executive officer of the
Insurance Company/ Finance Institution Established Under Specific Law Particulars For the SEC Officer □ 1. Supporting documents for consideration under Clause 4 (1) : □ (1) Certificate from the organization
approved by the chief executive responsible for the line of work related to capital market of the intermediary . The investment guidelines of the intermediary shall have at least the following details: (1