that such director had received as a result of his/her misconduct. In addition, the criminal and civil sanctions prohibit such director from holding the position at any listed company. The SEC also
that such director had received as a result of his/her misconduct. In addition, the criminal and civil sanctions prohibit such director from holding the position at any listed company. The SEC also
for a maximum period of not over one year; 2. Prohibit the mutual fund management company from the initial public offering for sale of the investment units of the mutual fund that has been approved; 3
for a maximum period of not over one year; 2. Prohibit the mutual fund management company from the initial public offering for sale of the investment units of the mutual fund that has been approved; 3
such as gold price/crude oil price/agricultural products by an unlicensed company. ● Information of solicitor/advisor such as company’s name, address, website, online media, full name and contact
derivatives intermediaries with underlyings such as SET index, oil and precious metals (gold, silver, etc.); For the list of licensed securities companies, please click SEC Check First . For the list of
position of company secretary as well? A: Yes. The Securities and Exchange Act does not prohibit such matter. The board may appoint any person who is deemed appropriate and qualified to perform the duties of
position of company secretary as well? A: Yes. The Securities and Exchange Act does not prohibit such matter. The board may appoint any person who is deemed appropriate and qualified to perform the duties of
or holding positions at other companies. 3.5.4 The board should ensure that the company’s policies prohibit and prevent a director from creating a conflict of interest with the company, including by