The Securities and Exchange Commission (SEC), represented by Ms. Winita Kultangwatana, Director of the Sustainable Development Department, participated in the 6th Annual ESG Assessment of Thai
notification which are Finnomena did not take the client’s knowledge assessment result for consideration of the complex fund sale service and Finnomena did not have selecting seller procedure. SEC Act S.113
connection to the region. • Continuous Accessibility to Information The ASEAN SLBS further set out how investors are to be given access to information continuously by requiring the Issuer to disclose
Assessment National level Listed company level Archive CG CSR Anti-corruption AGM FAQ News/Events FAQ Board roles and responsibilities One Report ESG Issues AGM FAQ Capital market professionals/gatekeeper CSR
the TIA in the following projects, (1) Annual General/Extraordinary Shareholders’ Meeting Assessment Project and (2) Annual General/Extraordinary Meeting Assessment Project for (2.1) unitholders of
fortify the firm’s quality control system. The SEC believes improvements on the following issues would further strengthen this element of the firm-level quality control. 13 Risk assessment during client
index that has value follwing the market capitalization and has the high and continuous yielding dividend 3 years ago. Results of the Quality Assessment of the Annual General Meeting of Shareholders Thai
matching status • Order cancellation • Projected price & quantity • Imbalance (Buys – Sells) • Reversals Continuous Market Starts • Spreads • Market depths • Realized volatility • Weighted price contribution
label. • Continuous Accessibility to Information The ASEAN GBS further set out how investors are to be given access to information continuously by requiring the Issuers to disclose information on use of