relevant and high quality research; g) ensuring that portfolio turnover is appropriate, in line with expectations and managed effectively; and h) providing appropriate transparency such that clients can gain
considering opportunities and risks? 2.1.3 The company’s values should reflect characteristics of good corporate governance, such as accountability, integrity, transparency, and due consideration of social
key approach to enhance operational efficiency and promote the SEC role as a learning organization. ?The SEC will continue to develop the capital market by exercising our core value of openness
SEC will continue to develop the capital market by exercising our core value of openness, insightfulness, collaboration and integrity. Market participants and stakeholders can rest assured that the SEC
Channels 23 Yuthana Sethapramote, Ph.D., Graduate School of Development Economics, NIDA 1. the degree of openness • 𝑂𝑂𝑂𝑂𝑖,𝑡 = (𝐸𝐸𝑂𝐸𝐸𝐸𝑖,𝑡 + 𝐼𝐼𝑂𝐸𝐸𝐸𝑖,𝑡 )/𝐺𝐷𝐺𝑖,𝑡 2.the trade share in
corporate bond business that is usually subject to high costs and time-consuming, complicated processes. The DLT platform can reduce costs and increase efficiency, transparency and competitiveness of
Re: Determination of the Definitions of Institutional Investor, Ultra-high Net Worth Investor and High Net Worth Investor
element that the firm considers as high risk? Please describe the relevant responses to these risks. A.1 Information System: Firm's Reference /Guidance Notes Description 1 How does the firm determine what