asset report will be more flexible in that the report must be sent within 5 working days of the following month to the clients or at least once a year to the clients who have been inactive for more than a
In recent times, crimes regarding the capital market have become significantly more intricate, which is why SEC firmly believes that there must be an upgrade in the cooperation between related
misconduct occurred.Following a report of the Stock Exchange of Thailand, the SEC further probed into the case and found that {A} activated an inactive securities trading account of a client in order to submit
complaint, and will disclose such case to the public in due course; ● Complaint or tip handling time depends on the complication of the case, documents and evidence received from the complainant, including
/>ไม่มีความเคลื่อนไหว (inactive account) การมีนโยบายในการให้วงเงินซื้อขายหลักทรัพย์และการกู้ยืมเงินเพื่อซื้อหลักทรัพย์ที่สะท้อนถึงพฤติกรรมการซื้อขายหลักทรัพย์ของลูกค้า เป็นต้นนอกจากนี้
, returns and financial statements • All stocks that listed in Thailand, active and inactive • SET + MAI • July 2001 - July 2022 • Follow Fama and French (2018) and Hou et al. (2015) for factor construction
affirm … action that is already being taken by the company. Vote to advise … on the substance and directionality of the resolution, rather than the intricate details. Voting in favour of shareholder
on the upcoming or intricate financial reporting standards. Additionally, the SEC will continue to encourage listed companies to establish a more robust internal control system. In so doing, we will
under the KYC/CDD process; (4) the account is re-activated by a large size of transaction after being inactive for some time; (5) significant amount in terms of size/volume is transacted, which is