The board should demonstrate a thorough understanding of its leadership role, assume its responsibilities in overseeing the company, and strengthen good governance, including: (1) defining objectives
; (2) not have financial condition that is likely to cause damage or any other circumstances that show its financial hardship; (3) within three years preceding the year of filing application toward the
; (2) not have financial condition that is likely to cause damage or any other circumstances that show its financial hardship; (3) within three years preceding the year of filing application toward the
operating securities business in the category applying for the license, and other businesses as permitted by the SEC; (3) be able to show that its operational system will be prompt for operating securities
operating securities business in the category applying for the license, and other businesses as permitted by the SEC; (3) be able to show that its operational system will be prompt for operating securities
Funds for Accredited Investors, Mutual Funds for Institutional Funds, and Private Funds (Section 3 Private Fund Management) Circular Letter No. SEC (Wor) 24/2552 Re: Clarification for Understanding of
to ensure their correct understanding and implementation of the new notifications Acts and Royal Enactments Ministerial Notifications Rule Making Process Regulations Ministerial Regulations Regulations
Funds for Accredited Investors, Mutual Funds for Institutional Funds, and Private Funds (Section 3 Private Fund Management) Circular Letter No. SEC (Wor) 24/2552 Re: Clarification for Understanding of
undertaking of such legal entity; (2) be able to show that its operational system will be prompt for operating securities business in the category of investment advisory service; (3) be able to show that its
, and establishing provident funds. 6. The board should demonstrate a thorough understanding of the company’s shareholder structure and its impact on the control and management of the company. 7. The