, as appropriate. Principle 7.5 The board should ensure the establishment of a dedicated Investor Relations function responsible for regular, effective and fair communication with shareholders and
requires that the auditor of the entities in the capital market be approved by the SEC so that the SEC will be capable of regular monitoring the quality of audit work performed by such auditor, which
invested securities on a regular schedule. Such incidents are beyond the control of the mutual fund management company and the mutual fund supervisor is informed and acknowledged about the situation. (5) The
business, employee, staff, advisor earning regular monthly salary, controlling person during the period of two preceding years. Relaxation of this requirement is in the case where the person is retired as a
management’s handling of financial risk or difficulties and seek regular reports. 7.3.3 The board should ensure that any actions to improve the company’s financial position are reasonable and made for a proper
สำคัญต่อผู้ประกอบธุรกิจตัวกลางอย่างไร Biodiversity บทบาทของ ก.ล.ต. กับความหลากหลายทางชีวภาพ และกระบวนการ The Leap Approach โทเคนกลุ่มความยั่งยืน 1 | 2 | 3 | 4 ศูนย์บริการประชาชน ก.ล.ต. ศูนย์
required? A: The company secretary may keep important documents in the electronic system; however, the company must comply with the Electronic Transactions Act by, for example, using a clear and regular
) specified by the regulation. Net Capital Rule (NCR) The SEC applies the " net capital rule ( NCR )" approach, where securities and derivatives businesses are required to maintain “ net capital ( NC