interpretation of the “Executive” in relation to “person holding executive position in Accounting or Finance Department whose rank is not lower than departmental manager” Regarding the Notification of the
authorities empowered to supervise financial business or has been barred from serving as the executive or the major shareholder of the supervised legal entity and, at present, has not been permitted to
× Home > Laws/Regulations > Discussion Discussion SHARE : Detail Content The interpretation of the “Executive” in relation to “person holding executive position in Accounting
, Executives, Auditors, Plan Preparers and Plan Administrators (Form 59) Information, Certification and Consent of the Company's Director and Executive (Form 35-E1) Letter of Consent to Disclose Information
national economy. At present, there are six legislations administered by the SEC, namely: the Securities and Exchange Act of 1992 ; the Derivatives Act of 2003 ; the Trust for Transactions in Capital Market
) committing unfair securities trading practice; (2) presenting a false statement or concealing material facts that should have been stated; (3) failing to perform duties as director or executive under Section
duties with efficiency, fairness and transparency; focuses on promoting and developing the operation of the securities businesses. At present, three associations related to the securities business are as
Commission No. SorJor. 38/2561 Re; Preparation of Report on Changes to the Securities and Derivatives Holding of Director, Executive, Auditor, Plan Preparers and Plan Administrators, Chapter 2, Clause 7
fund manager with the following qualifications : (1) In the case of the selected fund manager being a director, executive or employee of another company, the mutual fund management company shall prove
fund manager with the following qualifications : (1) In the case of the selected fund manager being a director, executive or employee of another company, the mutual fund management company shall prove