[existing] clients of an intermediary; “institutional investor”5 means an institutional investor as specified in the Notification of the Securities and Exchange Commission concerning the Determination

relevant securities clearing house or central securities depository to amend, repeal, or revise its existing rules or regulations, or take any action as the Capital Market Supervisory Board deems appropriate

including [existing] clients of an intermediary. 2 “institutional investor” means an institutional investor as specified in the Notification of the Securities and Exchange Commission concerning the

be limited in terms of accuracy, availability and timeliness. It is possible that the data from ESG data providers may be incorrect, unavailable (e.g., not existing, or absence of look-through), or not

Annual Report 2007 Securities and Exchange Commission, Thailand ANNUAL REPORT 2007 Corporate social responsibility is the continuing commitment by business to behave ethically and contribute to economic development while improving the quality of life of the workforce and their families as well as of the local community and society at large. (WBCSD Stakeholder Dialogue on CSR, The Netherlands, Sept 6-8, 1998) C o n t e n t s Corporate Review Capital Market Review Action Plan and Events Achievemen...

; (2) increase in the types of investment units without diminishing the existing rights of the unitholders; (3) proceeding in compliance with the provisions of this Act; (4) revision or modification of a

investors in a manner of concealing or disguise or making up non-existing facts in material transactions or operation; (d) having withdrawn an application for an offer for sale of newly issued shares without

before finalizing the decisions to accept new clients or to continue relationships with existing clients. This approach would prevent the audit firms from accepting or continuing engagements with

shareholders, either for individuals or for the policy of the scheme as a whole. Shareholder approval should also be required for any material changes to existing schemes. 5. Shareholders should be able to vote

20T H ANNIVERSARY 1 Securities and Exchange Commission, Thailand Annual Report 2012 SEC ANNUAL REPORT 20122 THE YEAR OF CHANGE The year 2012 was the time for change to become the visionary partner whose balance between proactive and preventive approaches has led to stakeholders’ confidence in the Thai capital market. THE YEAR OF CHANGE 20T H ANNIVERSARY 1 02 MESSAGE FROM THE CHAiRMAN 04 MESSAGE FROM THE SECRETARY-GENERAl 06 SEC BOARd 09 CApiTAl MARkET SupERviSORY BOARd 12 ExECuTivE OFFiCERS 13 O...