possible limit of individual freedom, regulation is essential to uphold market credibility and orderliness. Yet, the regulator’s exercising of power must be prudent, fair and only as necessary to protect the
SHARE : Detail Content Useful Information New Product Prospectus / Filling Sales Report Shelf Approval Outstanding Domestic Debt Related Rules and Regulations Equity Instrument Debt
SHARE : Detail Content Useful Information Listed Company Profile Report on Changes of Securities and Derivatives Financial Statements Annual Registration Statement Annual Report List of Directors and
Business Operator SHARE : Detail Content Useful Information List of Securities Businesses / Derivatives Businesses Asset Management Businesses Credit Rating Business Investor Alert
used in legal proceeding in case of violation. Whistleblower protection ● Any employee or worker who provides information or cooperation by giving a tip, testifying or submitting useful documents for
itself or assigns other persons to manage this portion of other assets. Due diligence on real estate to be invested Physical issues including location, usage conditions, entrance and exit, useful
on related party transaction. Audit committee shall have independence as basic qualifications as required by the SET notification, meaning that audit committee shall be independent director. Q: Can
member jurisdictions, which emphasizes the independence from the accounting profession of regulatory body. The Principle was aimed at providing a guideline for IOSCO members to implement their supervisory
abreast of developments and emerging risks, conflicts of interest management in capital market, auditor's independence, auditing standards, credit rating agencies, sell-side analysts, and hedge fund. - The