served.Investors are strongly advised to be careful and not to allow investment consultants to make trading decisions for them. Compliance unit should be immediately informed if a trading account is used without the
The SEC has opined that organizing a shareholders meeting to elect new directors in order for IFEC’s board of directors to have a quorum in compliance with the law would be a proper way for IFEC to
such order, its declaration remains valid and IFEC directors must perform their duties in compliance with the DBD’s discretion. In this regard, all three directors, namely (1) Mr. Suphanan Rittiphairoj
which are in compliance with sustainable development and used to define business targets.Besides, institutional investors play a major role to drive and monitor listed companies for adoption of
comments and suggestions from the focus group consultation in November last year. The draft amendments would also improve market readiness and reduce compliance cost. The essences of the proposed amendments
and continuous audit work for listed companies in compliance with stricter professional standards. The SEC is therefore reviewing related regulations* and proposing the requirement of a minimum of
banned Ravi from holding the position of director or executive at any issuing or listed companies for one year.* ________________________________ *In compliance with the Notification of the Securities
advice on suitable products in compliance with standard of conducts;(3) Giving knowledge through activities and channels by preparing plan for financial literacy and investor potential for 2011-2013 which
ensure compliance with respective laws and developing capital markets of the two countries. The MoU, signed by SEC Secretary-General Vorapol Socatiyanurak and SECC Director General Ming Bankosal, aims at
Notification concerning financial advisor approval and scope of performance which specifies that financial advisor supervisor must be responsible and perform duties with prudence and care in compliance with laws