capital market intermediaries including fund distributors, e.g., banks, to explore cross-border opportunities and build mutual understanding in the matter. Additionally, SEC has closely cooperated with
Re: Prescribing Factors in Considering the Seriousness of Behavior as Prohibited Characteristics of Persons who are or will be Major Shareholders of the Securities Companies.
the real fans with a good knowledge and understanding of technology only but not for general investors. In addition, previously SEC found that certain persons exploited the timing to deceive the
regarding their Listed clients and if so, did this change the nature of services/fees charged? 11 Does the firm document its understanding with the client regarding the services to be performed by obtaining
Guidelines for Considering Characteristics of Giving Advice to the Public Which Is Not Deemed an Undertaking of Securities Business in the Category of Investment Advisory or an Undertaking of
related parties in the capital market in order to create understanding and cooperation in the use of good governance principles for sustainable development.In this seminar, SEC was honored by Dr. Prasarn
ขอเชิญส่งนักวิเคราะห์การลงทุนเข้าร่วมอบรม หัวข้อ Understanding the impact of sustainability on the value and performance of companies; Integrating climate-related risks and opportunities into equity
governance, which include prevention, deterrence and suppression of improper behaviors of listed companies. The webinar also aimed to communicate and build the understanding of revisiting rules and oversight
regarding their Listed clients and if so, did this change the nature of services/fees charged? 11 Does the firm document its understanding with the client regarding the services to be performed by obtaining
control system at the firm level and the individual engagement level, the SEC encourages all stakeholders to attain a better understanding and awareness of their roles within the ecosystem, from the