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
& Verify(A) SignFile & Verify(B) Authorization details (EF-3) : companyName systemName reportName effectiveDate
manager that she had obtained such authorization and decided to trade by the instruction of clients? appointee or by her own deliberation. For a long period of time, she continually made trading decisions
Company Registration Number Officer Name Officer Email Current Datetime Client Datetime SecSign File Version SignMessage & Verify SignFile & Verify(A) SignFile & Verify(B) Authorization details (EF-3
sales due to raw material used decreased by can push increased price of paper to customers. - Selling and administrative expenses of Q2/2016 was 10.97 percent of sale, decreased to 9.92 percent in Q2/2017
plans to lay out a cooperative framework with SEC to push forward the SDG implementation and the UN Guiding Principles of Business and Human Rights in Thailand.
securities trading account without any written authorization from the account owner. He admitted that both clients were siblings and the account owner asked her brother to submit trading orders without prior
contact and assigned to work for the company. Such trader later sent several trading orders in the client's account without authorization or contrary to the client's orders, causing damage to the client