the SET 5. Other criteria Criteria for authorizing IPO The past five years record must not contain doubt that information in filing and application is inaccurate or incomplete, or that important
วะสุวรรณ คณะบริหารธุรกิจ ภาคบัญชี มหาวิทยาลัย เกษตรศาสตร์ • ผลงานวิจัยเรื่อง “A String of Earnings Increases, Future Earnings Uncertainty, and Firm Fundamentals” - Presentation - บทศึกษา โดย
must be clearly specified in order to avoid any doubt whether internal information is used to the benefit of the executives. The program must be administered by an intermediary, such as a securities
might occur between the company, management, directors, and shareholders. The board should also prevent the inappropriate use of corporate assets, information, and opportunities, including preventing
there are adequate measures to manage conflicts of interest; There is no reason to doubt that the management mechanism will be unable to protect the rights of the shareholders or to treat the shareholders
in 2. Comply with the SEC regulations. 3. Correcting the misspelling of name 4. Changing mutual fund supervisor 5. Reducing mutual fund fees or expenses (2) Amendments that might request an
in 2. Comply with the SEC regulations. 3. Correcting the misspelling of name 4. Changing mutual fund supervisor 5. Reducing mutual fund fees or expenses (2) Amendments that might request an
holders, investment decision, or price of the securities might be impacted, the SEC will order the company to have a special audit on such financial statements and report the result of such audit to the SEC
i.e. protection seller CDS; Please note that this is a non-exhaustive list of restricted assets. Hong Kong Covered Management Companies are encouraged to consult the SFC if in doubt on any issues. (As
i.e. protection seller CDS; Please note that this is a non-exhaustive list of restricted assets. Hong Kong Covered Management Companies are encouraged to consult the SFC if in doubt on any issues. (As