fiduciary duties. (2) determine clearly and harmoniously the mission, strategy, policy and operational plan of the company and its business units. In this regards, guidelines for reviewing the mission
) allow its business to be conducted with fiduciary duties. (2) determine clearly and harmoniously the mission, strategy, policy and operational plan of the company and its business units. In this regards
securities business continuously, the securities company shall set up implementation plan or measures in the case where securities company or service provider terminates contract or the service provider can no
the securities company in undertaking securities business continuously, the securities company shall set up implementation plan or measures in the case where securities company or service provider
the operation and various risks pursuant to Paragraph 1. Clause 23 Each derivatives clearing house shall establish a plan for recovery or an orderly wind-down, with approval of its board of directors
Memorandum of Undertstanding on Streamlined Authorization Framework for Cross- border Public Offers of ASEAN Collective Investment Schemes and being empowered to supervise the collective investment scheme or
and subsequently lay out a proper and timely rectification plan. The audit firm leaders should be a champion in raising the awareness of the deficiency issue and allocating appropriate resources for the
DERIVATIVES ACT DERIVATIVES ACT B.E. 2546 (2003) SECTION 9. The SEC shall have the power and duty to formulate policies, to promote and develop, as well as to supervise, matters concerning
audit firms were also conducted. For example, (1) succession plan and retention plan, (2) maintenance of independence of audit firms and auditors, (3) assessment on readiness of accounting personnel, (4
ground to believe that the financial status may cause damage or any other circumstance indicates an ongoing financial problem; (5) having a clear action plan which demonstrates determination for providing