under appropriate oversight and to maintain confidence of investors who use the services. The consultant paper is available at https://www.sec.or.th/TH/Pages/PB_Detail.aspx?SECID=678
situations and fair treatment to all types of investors. The regulatory review also aims to promote and maintain stability and efficiency in securities trading. The SET will expedite the reviewing process of
/LawsandRegulations/securities-ITchecklist.xlsx QAQR-06.xlsx institution, insurance, construction, digital assets) obtain/maintain the required specialist knowledge? Does the firm have special training/or tailor-made
years. Shareholders should have a separate vote on the election of each director, with each candidate approved by a simple majority of shares voted. 12 3.7 Evaluation The nomination committee should
Confidential information CRAs should maintain in confidence all non-public information communicated to them by any issuer, or its agents, under the terms of a confidentiality agreement or otherwise under a
risk committee. Communication is the simple key to enable shareowners to effectively engage with companies. Yet the question of with whom, when and how to engage is not so simple. Here are some thoughts
(2003) . Clause 3 Maintenance of the net capital by a securities company shall be in accordance with the criteria as follows: (1) securities company shall maintain the net capital at the end of any
a securities company shall be in accordance with the criteria as follows: (1) securities company shall maintain the net capital at the end of any business day in the amount not less than fifteen
that the derivatives fund manager will appropriately manage the investments for investors to protect and maintain the best interest of investors under acceptable risk exposure, it is necessary that the