PRINCIPLES OF CORPORATE GOVERNANCE © OECD 2015 desirable to explicitly assess why, and under what circumstances, such delegation is desirable. In addition, the public authority should maintain effective
relations. The SFC is the principal regulator of the securities and futures market in Hong Kong and the primary authority for regulating retail funds offered to the public in Hong Kong. The role of the SFC is
Authority the (“PWA”) – the Company’s major shareholder. 3. General characteristics of the transaction. The PWA requested that the Company provide a 30% discount to the water tariff for the Koh Samui Branch
Section 97 Securities and Exchange Act B.E. 2535 Section 97. A securities company shall maintain capital adequacy in accordance with the rules, conditions and procedures as specified by the SEC.
Confidential information CRAs should maintain in confidence all non-public information communicated to them by any issuer, or its agents, under the terms of a confidentiality agreement or otherwise under a
securities business in the category of management of other persons’ funds, whether it be the mutual fund or private fund management, has the common objective to protect and maintain the best interest of
business in the category of management of other persons’ funds, whether it be the mutual fund or private fund management, has the common objective to protect and maintain the best interest of investors based
addition, there is no reasonable ground to believe that the applicant has any deficiency or is not appropriate regarding control and sound business conduct; (3) being able to maintain capital funds and set
Office of the Securities and Commission; (10)1 repealed. Clause 21 A derivatives broker shall maintain its net capital of not less than fifteen million baht and [net capital ratio] of not less than seven
. Clause 21 A derivatives broker shall maintain its net capital of not less than fifteen million baht and [net capital ratio] of not less than seven percent of the general liabilities and collateral at the