) Community / society development (8) Creation and distribution of innovations responsible to society, environment and stakeholders. Selection of subjects for implementation and disclosure : As businesses
implementation Details 1. To acquire assets or finance acquisitions of other business, related to the operation of the current business. - In case of asset acquisition: describe the types of assets and their
which is supervised by a regulator located in a country whose supervisory measures on investment management are recognized by the SEC Office; For the purpose of intermediaries’ compliance with the
selection of accounting policy, observations or qualified opinion of the auditor on significant accounting items (if any), and the results of the implementation of the business plan and objectives in relation
Section 19 Securities and Exchange Act B.E. 2535 Section 19. The Office has the power and duty to perform any act necessary for the implementation of the SEC’s resolutions and to perform any other
securities company shall establish measures to control and monitor compliance with the policy set out in Clause 3 and allocate sufficient resources to support the implementation of the policy. Clause 5. A
, internal control and follow up measures to ensure effective implementation. Clause 4. Beside the qualifications prescribed under Clause 3, an applicant for derivatives business operator registration under
guidelines specified for implementation in accordance with this notification. Clause 9. In case where it appears to the SEC Office that any derivatives broker violates or fails to comply with this notification
, or have been stipulated such requirement but it is necessary to determine the implementation or to make clarification, the intermediary shall operate its business, or implement or clarify such
monitoring the implementation of the exercise of voting rights; (4) Disclose the guidelines referred in (1) and the exercise of voting rights referred in (2) to investors by using appropriate methods and in