sufficient personnel to be able to operate the investment advisory service business efficiently. This case is in the process of inquiry by the inquiry official. SEC Act S.115 Criminal Complaint Filed with
appointments are staggered and made independent from the political calendar, they can further enhance independence. These bodies should be able to pursue their functions without conflicts of G20/OECD PRINCIPLES
the capital market were taken care of to ensure that they would be able to continue functioning seamlessly. In this regard, building a quality financial reporting system in compliance with international
Market Supervisory Board by managing an advertisement of foreign mutual fund in the inappropriate manner of content, proportion of content and form of presentation in order that a client would be able to
Continuity system in order to be able to provide services to a client and offer for sale of investment units. SEC Act S.113 Settlement Committee Meeting No. 5/2021 Settlement Committee Order No. 40/2021
involved agreed with the principles proposed by the SEC and added the principle of flexibility, in order that the business operators will be able to put this into practice effectively. The public hearing
market, including guidelines for enhancing the development of the Thai securities industry where all sectors are able to gain benefits fairly and efficiently. The joint meeting was held at the SEC
– “CRAF”) ซึ่งเมื่อผู้ประกอบธุรกิจประเมินตนเองแล้ว จะช่วยให้ทราบความเสี่ยงด้านไซเบอร์ที่เกิดจากลักษณะการประกอบธุรกิจของตนเอง (inherent risk) และผู้ประกอบธุรกิจมีระบบงานที่ช่วยควบคุม
annual report and accounts in order for shareholders to be able to assess the company’s performance, business model, strategy and long-term prospects. The reporting of relevant and material non- financial
managers incorporate sustainability factors in their investment process. Consequently, investors may not be able to compare between mutual funds with similar sustainability mandates and, as a result, may