) ด้วยทั้งนี้ งานสัมมนาที่จัดขึ้นครั้งนี้เป็นการสานต่อความร่วมมือระหว่าง ก.ล.ต. UN และ PRI ต่อเนื่องเป็นปีที่ 3 ภายใต้ธีม ‘Responsible Investment in Practice’ เพื่อผลักดันภารกิจของ ก.ล.ต. ในด้านการกำกับ
Bangkok, 23 February 2017 ? The SEC has launched the Investment Governance Code (I Code) as a guideline for responsible and sustainable investment management of institutional investors. The seven
collateral placement for a client's KTB securities trading account. Panadda was responsible for the said trading account and she also had a personal relationship with the client who was the account owner. She
of the Audit Firm Illustrate the management structure or function segregation, the names of directors, executives, or partners responsible for each function, as well as the names of the members of each
responsible for each function, as well as the names of the members of each committee (if any) and its responsibilities. 4. Inspection results on the quality control system (if any) In the case that an internal
บุคลากรในธุรกิจตลาดทุนและผู้ที่เกี่ยวข้องมีส่วนสำคัญในการสนับสนุนและขับเคลื่อนร่วมกัน และเพื่อส่งเสริมให้ผู้ประกอบธุรกิจไทยคำนึงถึงการลงทุนที่รับผิดชอบ ภายใต้ Principles for Responsible Investment (PRI
securities company shall separate the work units and personnel responsible for communicating, soliciting or giving securities investment advice to clients from the work units and personnel responsible for
units and personnel responsible for communicating, soliciting or giving securities investment advice to clients from the work units and personnel responsible for making decisions on securities trading for
responsible for contacting, soliciting or giving advice on securities investment for client from work unit and personnel responsible for proprietary trading. Clause 7. Securities company shall separate work
issued securities and between organization and personnel having opportunity to take benefit from such information. Clause 67. Securities company shall separate work unit and personnel responsible for