supervision 2.6 Quality Assurance & Review Increasingly, complicated transactions in the financial market especially those in connection with listed companies and intermediaries such as securities houses have
actions: 1. Suspend a filing of a new application for normal or automatic approval for a maximum period of not over one year; 2. Prohibit the mutual fund management company from the initial public
prohibit such director from holding the position at any listed company. The SEC also proposed amendment to the Public Limited Companies Act B.E. 2535 (1992) to prohibit any company from exempting the
position of company secretary as well? A: Yes. The Securities and Exchange Act does not prohibit such matter. The board may appoint any person who is deemed appropriate and qualified to perform the duties of
or holding positions at other companies. 3.5.4 The board should ensure that the company’s policies prohibit and prevent a director from creating a conflict of interest with the company, including by