company or public limited company which is newly established for operating securities business in the said category mutual fund management under this Ministerial Regulation. Clause 3 Limited company or
with law controlling business undertaking of such legal entity; (2) not have financial condition that is likely to cause damage or any other circumstances that show its financial hardship; (3) within
as its ethical performance and impact on stakeholders, society and the environment. 1.2.2 The board should assume a leadership role in creating and driving a culture of compliance and ethical conduct
set aside reserve capital in accordance with law controlling business undertaking of such legal entity; (2) be able to show that its operational system will be prompt for operating securities business
SEC’s specified rules. The members of an Audit Committee shall not be authorized directors or have controlling power over the company and at least one member shall have sufficient knowledge and
SEC’s specified rules. The members of an Audit Committee shall not be authorized directors or have controlling power over the company and at least one member shall have sufficient knowledge and
life insurance, as the case may be, such applicant shall- (1) be able to maintain capital funds and set aside reserve capital in accordance with law controlling business undertaking of such legal entity
can demonstrate that it can perform such duties; The structure of board of directors have sufficient checks and balances; Directors/ executives/ controlling persons must not have untrustworthy
undertake CSR. Q: How much influence does company's executives have on company's CSR? A: Company's executives have significant role in driving organization's CSR, as executives will have to understand
offering (form 17-1) A letter of certification for personal records of directors, executives, controlling persons of the applicants for public offering of digital tokens A letter of acknowledgement for the