. is clearly separated from those to be offered to the public, which is already disclosed in the registration statement and draft prospectus; (2) allotment of securities left from subscription of all
) 2., 3., 4., or 5. is clearly separated from those to be offered to the public, which is already disclosed in a registration statement and draft prospectus; (2) allotment of securities left from
substitute for the guidelines in Items (6) - (7), for example, conduct regular inspection of mobile devices, or if an employee violates the rules, impose a penalty or remove the access right to application
Capital Market Supervisory Board concerning Personnel in the Capital Market Business . Clause 4 A management company shall arrange the evaluation of fund performance on a regular basis, and disclose the
and regular monitoring and amending of the policy. 3. The management should determine the guideline for conducting compliance inspection as follows: (1) Communicate with the related personnel to be
) “ insider information ” means a material fact which would affect the price of a securities and has not been disclosed to the public, and has become known to a securities company during the course of the
institutional client s; (6) “ inside information ” means material facts which affect the change in the price of securities but have not yet been disclosed to the public and a securities company has acquired
securities company shall provide an operation control measure for the regular computer operation in order to render the computer system and data processing to be capable of operating continuously, correctly
pursue skill and knowledge enhancement on a regular basis to be able to handle ever-increasing innovations in the securities business. This will not only benefit investor contacts in their performance of
and the Public Limited Company Act, B.E. 2535 (1992) 26.1.2 others means the amount appropriated from retained earnings for any purpose under the resolution of shareholders, which shall be classified