Office ensures that the service provided by the cloud provider is reviewed on a regular basis. As for hard copy documents and printed materials, the SEC Office scans hard copy documents and printed
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
, as appropriate. Principle 7.5 The board should ensure the establishment of a dedicated Investor Relations function responsible for regular, effective and fair communication with shareholders and
พฤษภาคม 2555 "Financial Innovation" บทสัมภาษณ์ ดร.วรพล โสคติยานุรักษ์ เลขาธิการ ก.ล.ต. นิตยสาร MBA ฉบับเดือนเมษายน 2555 “To demutualize or not to demutualize, that is not the only question” บทความโดย นาง
requires that the auditor of the entities in the capital market be approved by the SEC so that the SEC will be capable of regular monitoring the quality of audit work performed by such auditor, which
invested securities on a regular schedule. Such incidents are beyond the control of the mutual fund management company and the mutual fund supervisor is informed and acknowledged about the situation. (5) The
business, employee, staff, advisor earning regular monthly salary, controlling person during the period of two preceding years. Relaxation of this requirement is in the case where the person is retired as a
management’s handling of financial risk or difficulties and seek regular reports. 7.3.3 The board should ensure that any actions to improve the company’s financial position are reasonable and made for a proper