), the issuer shall submit a supplemental report (81-1 Short-Form) to the SEC Office within a designated timeframe. This report must include the following information: - Major shareholders and their
* and Form 56*. These rules have caused an unreasonable burden on these companies. SEC therefore plans to improve these rules to facilitate holding companies, which engage in various types of business
As part of continuing efforts to support market confidence and business integrity, the OECD has launched in Asia a new set of corporate governance principles that were endorsed at the G20 Finance Ministers meeting in September 2015. The G20/OECD Principles of Corporate Governance provide recommendations for national policymakers on key corporate governance issues, such as shareholder rights, executive remuneration, financial disclosure, the behaviour of institutional investors, boardroom practic...
includes inspection of audit firms’ quality control systems, which has been running since 2010. According to the Activities Report 2021, audit firms in the capital market have continued to improve their
establishment and the application fee for amendment to a mutual fund scheme to be designated as SRI Fund is exempt at an amount not exceeding 5,000 baht per fund scheme. Both exemptions are valid for the
assign their authorization to the CFO? 3 Whether the firm has designated a Quality Control partner who takes ultimate responsibility for the firm’s QC system? If yes, Does the firm leadership provide the
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organizational structure and indicate whether there are INEs at the global, regional or local level. B6 Whether the firm has designated a Quality Management (QM) partner who takes responsibility for the firm’s
operation, reputation, position and results of operation of the intermediaries. “manager” means a person who is designated by the board of directors of intermediaries to be the highest responsible supervisor