comply with the decision of the board of directors. For instance, an internal auditor may be assigned to monitor the allocation, etc. 2. Proportion of IPO shares being allocated Sponsors: not more
aware through the company’s website or annual report of all channels available for complaints. 6.5.2 The board should ensure that the company has a clear whistleblowing policy, including designated
clearly state that the shares are allocated to directors, employee) Securities: Shares Convertible Debentures (CD) Warrant Approval Conditions The SEC generally approves the offer for sale of ESOP, namely
laws or as assigned by the board of directors and; (3) qualification, knowledge, capability, and experience including purposes of appointment. SECTION 89/10 In performing duty with loyalty, a director
securities industry and reporting to the SEC Board. The CMSB comprises: Chairman is SEC Secretary-General; Board members , i.e.: 1. SEC Deputy Secretary-General assigned by SEC Secretary-General 2
securities industry and reporting to the SEC Board. The CMSB comprises: Chairman is SEC Secretary-General; Board members , i.e.: 1. SEC Deputy Secretary-General assigned by SEC Secretary-General 2
conflict of interests, oversee dishonest acts or connected transactions of directors and executive, as well as to ensure that executive director has performed duty in accordance with the assigned authority
fee rate 2.4 Proxy voting at shareholders' meetings on clients' behalf Types of Funds Proxy Voting Assigned Not assigned Private Funds The private fund management company to exercise the
fee rate 2.4 Proxy voting at shareholders' meetings on clients' behalf Types of Funds Proxy Voting Assigned Not assigned Private Funds The private fund management company to exercise the
conflicts of interests effectively. (2) Where the person appointed as a fund manager is an employee of the mutual fund management company, the designated employee must hold a position which will not cause