independent party to be the company’s external auditor, consider and recommend the auditor’s remuneration, and hold a meeting with the external auditor without the presence of management at least once a year
of directors and executives of issuing companies. Qualifications of a director Not having untrustworthy characteristics. For example: Being an insolvent person or an incompetent person Being
the effects on shareholders: In case of a possible high dilution effect: Means the number of shares being offered is > five percent of paid-up shares at the date of the decision of the shareholders
as follows; (1) Fast Track: auditors who a) are under supervision by an audit oversight authority that has same auditor oversight standard as that of the SEC, and b) have experience in auditing and
as follows; (1) Fast Track: auditors who a) are under supervision by an audit oversight authority that has same auditor oversight standard as that of the SEC, and b) have experience in auditing and
standard in undertaking financial institution business or for professionals engaging in financial business; (11) has been suspended the business operation by the Thai or foreign authorities empowered to
Settlor A Trust Manager is the settlor of the trust. The settlor can either be an asset management company or a non-asset management company: obtaining approval by the SEC, and being in readiness of work
Causes of a conflict of interest Financial Impacts Doing Business in the Future Approval for Financial Advisors and Supervisors Juristic Persons (1) Being a financial institution or a
Causes of a conflict of interest Financial Impacts Doing Business in the Future Approval for Financial Advisors and Supervisors Juristic Persons (1) Being a financial institution or a
an asset management company or a non-asset management company: obtaining approval by the SEC, and being in readiness of work systems and staffs; in case of a non-asset management company, additional