Bangkok, July 3, 2012 ? SEC Secretary-General Vorapol Socatiyanurak revealed after a Q2/2012 meeting with the Association of Thai Securities Companies (ASCO) that the SEC and ASCO agreed on quality enhancement for investment analysts and research, as well as securities professionals to build investor confidence and strengthen business competitiveness. The meeting also discussed certain business obstacles to seek proper solutions.ASCO came up with a quality enhancement plan for investment analyst...
Bangkok, September 10, 2013 ? The Securities and Exchange Commission (SEC) and the Association of Investment Management Companies (AIMC) agree on introducing investment risk management guideline and due diligence checklist before investing in complex financial products to promote business standard and competitiveness. SEC Secretary-General Vorapol Socatiyanurak said that the SEC approved the AIMC?s investment risk management guideline and due diligence checklist before investing in complex finan...
: Push to the Limit, Stop the Corruption,” featured exhibitions showcasing anti-corruption efforts across various sectors, raising awareness and anti-corruption commitment performances. The ceremony took
Corporate Governance Rating (CGR), the SEC requested securities companies disclose Anti-corruption Progress Indicator of the listed companies in their research to push listed companies to set policy and
value of the businesses and help mitigate risks associated with incorrect financial statements. In this regard, FAP is well aware of the importance on this matter and will push forward to include the
Rules, ConditioRules, Conditions and Procedures for Appointment of Agents for Selling Investment ns and Procedures for Appointment of Representatives for Sale or Acceptance of Redemption of
. (Acceptance and Continuance of Client Relationships and Specific Engagements) 5. (Resources) 6. (Engagement Performance) 7. (Information and Communication) 8. (Monitoring and Remediation Process)
No. KorKhor. 2/2548 Re: Rules, Conditions and Procedures for Appointment of Representatives for Sale or Acceptance of Redemption of Investment Units and Marketing Representatives of Private Funds By