; (f) arranger of the offer; and (g) other parties who are responsible for disclosure contained in the prospectus (if any). C. Auditors 1. Provide the names, addresses and professional qualifications
may also be submitted to SEC Complaint Center. The list of the licensed intermediaries is available here . ● A claim for damages should be made directly to the compliance unit of the company in
: The public may be skeptical about directors who are sibling on the matter concerning whether each committee has independence in performance his/her duty. The company may need to disclose director's
all directors, executives, employees and staff. The board should ensure adequate mechanisms are in place for monitoring, reviewing and reporting compliance with the company’s policies and guidelines
Limited (“Company”) and its subsidiaries would like to clarify the operating results for the year ended December 31, 2018 according to consolidated financial statements. In 2018 the Company had total
hours in attending this course before the effective date of the notification can count as a refresher course under the condition); A course on “e-learning CFO's Orientation Course (English Version : for
disclosed in the mutual fund schemes and relevant rules, etc. The SEC and the SET are therefore proposing the principles for amending the regulations on approval for issuance and offering for sale of newly
person(s) assigned by the juristic person to be responsible for the matter in question may be subject to legal liabilities as well. Regarding the shareholders' meeting notice, normally the company
markets, over-the-counter trading center and other service providers for transactions in the capital market. “Capital market supervision,” therefore, is primarily the supervision of market participants
markets, over-the-counter trading center and other service providers for transactions in the capital market. “Capital market supervision,” therefore, is primarily the supervision of market participants