relating to asset appraisal regarding capital market transaction is significant and has impact on making investment decision of the public, appraisal requires a knowledgeable, capable and responsible person
, auditor, appraisal company, credit rating agency, representative of bond holders, and personnel in the capital market business, etc. There are two types of administrative actions taken by the SEC Office
the company in order for the shareholders to have complete information in making a decision and have control over the executives in risk management, financial management and business strategy. The
Securities Companies Net Capital Rule (NCR) Outsourcing Activities Note: * General functions include; for example; risk management, inspection and internal control, compliance, etc. **Central
that the mutual fund has the policy to invest in assets that are exposed to foreign exchange rate risk, the foreign exchange rate exposure must be fully hedged; 2. In the case that the mutual fund has
passed by the unitholders (1) In case of amalgamation/merger of the mutual fund with the same investment policy and level of risk spectrum, must obtain majority resolution by unitholders of each fund
that the mutual fund has the policy to invest in assets that are exposed to foreign exchange rate risk, the foreign exchange rate exposure must be fully hedged; 2. In the case that the mutual fund has
passed by the unitholders (1) In case of amalgamation/merger of the mutual fund with the same investment policy and level of risk spectrum, must obtain majority resolution by unitholders of each fund
แล้วเสร็จ ภายในระยะเวลาที่เพียงพอและเป็นธรรม มติที่จะต้องได้รับจากผู้ถือหน่วยลงทุน (1) กรณีควบรวมกองทุนระหว่างกองทุนรวมที่มีนโยบายการลงทุน ความเสี่ยง และระดับความเสี่ยงของการลงทุน (risk spectrum
into Climate related disclosures SEC webinar I_Introduction to Climate Risk Disclosure_EYGno003343-21Gbl_EDNone SEC webinar II series I_Deep Dive into Climate Related Disclosure_EYGno003342-21Gbl_EDNone