manager in accordance with Section 144 or Section 145 or in accordance with the provisions of other laws; (6) being a political official; (7) being a government official with responsibility to supervise
. Opinions of the executives on the audit quality control in the previous accounting period 7 6. List of audit engagement clients in the previous accounting period and the associated fee 7 7. Safeguards
’ Association. Guidelines for Renewal of Approval for Investor Contacts By virtue of Clause 7/1, Clause 8/2 and Clause 8/3 of the Notification of the SEC Office No. SorKhor. 15/2548 Re: Approval for Investor
. Assets 5. Legal disputes 6. General information and other material facts Part 2: Management and Corporate Governance 7. Securities and shareholders 8. Organizational structure 9. Corporate governance 10
securities companies or provided by training institutes approved by the Office; or (ii) being a lecturer, instructor or full-time teacher or guest lecturer at university-level educational institutions accepted
, nor be held liable for any loss or damages arising from or related to its use. ----------------------------- Notification of the Office of the Securities and Exchange Commission No. SorKhor/Nor. 7/2551
Securities and Exchange Commission No. SorKhor/Nor. 7/2551 Re: Rules, Conditions and Procedures for Advertisement Related to Promotion of Sales of Investment Units and Providing of Fund Management Services
to the SEC Office within fifteen days from the date of registration undertaken by the company- partnership registrar. Clause 7. This Notification shall come into force as from 1 November 2005. Notified
) The Notification of the Office of the Securities and Exchange Commission No. SorKhor. 42/2547 Re: Rules for Registration of Marketing Officers (No. 6) dated 10 November 2004; (7) The Notification of the
. General information and other material facts 19 Part 2: Corporate Governance 6. Corporate governance policy 21 7. Corporate governance structure and material facts related to the board, 23 subcommittees