faith Report to the SEC within five business days as from the date on which the mutual fund management company knows, and the report shall contain a corrective measure. / X X The votes of the
company as seen appropriate, or clarify the reasons for inability to comply with the I Code, or implement a substitute measure. The I Code principle application and results should be disclosed on
SEC. Therefore, it is deemed that {B} has already served SEC’s punishment in full. In considering a punitive measure, SEC takes into consideration the following factors: related roles and behaviors
, UNDP will support the SEC in building the culture and capacity of private sector actors in Thailand, to measure and manage their business impact, in alignment with the SDGs. “UNDP is pleased to join
development in Thailand. We support training on UNDP Business Call to Action Impact Lab, which can help to measure and manage impacts on businesses that incorporate SDGs into their operation, and
has already served SEC’s sanction in full. In considering a punitive measure, SEC takes into consideration the following factors: related roles and behaviors of the person(s) under consideration, the
, these efforts aim to enhance supervision, improve responsiveness, and increase efficiency in order to mitigate systemic risk effectively.Furthermore, the regulatory and measure review includes stricter
Annual Report 2010 ANN UAL REPORT 2010 SECURITIES AND EXCHANGE COMMISSION, THAILAND ASEAN ECONOMIC COM MUN ITY Vision S = Setting High Standard E = Ethical C = Committed Pro = Professional Mission Core value: SEC-Pro The SEC develops and supervises the Thai capital market to ensure efficiency, fairness, transparency and integrity. The SEC is to establish the Thai capital market as an important alternative for investors and fund raisers with an efficient mechanism for investor empowerment and, in...
and conditions: (1) there shall be management of risks arising from outsourcing thereof; (2) there shall be a preventive measure to ensure business continuity in case another intermediary fails to
be in accordance with the following rules and conditions: (1) there shall be management of risks arising from outsourcing thereof; (2) there shall be a preventive measure to ensure business continuity