Procedure” to discuss with audit firms and their auditors to find proper and practical solutions 11 Independent Audit Inspection Activities Report 1 January – 31 December 2014 In our relentless efforts to
, namely (1) program trading service that automates trading order execution according to clients’ selected investment strategy* and (2) portfolio advisory with execution service.** Both of the services are
payment and capital refund to the unitholders; 2. the fees or expenses to be charged to the unitholders; 3. other differentiation that is practical and regardful of the benefit of all unitholders including
not bring about liquidity problem and the funds? inability to appropriately sell their assets. Therefore, the SEC proposed to revise the regulations to be more practical in that the said dissolution
companies.In protecting the best interest of investors, the SEC is proposing to amend such rules to provide a clearer practical guideline for fund management and more room for investors to consider potential
Bangkok, November 6, 2014 ? The SEC is seeking public comment on proposed revision of approval criteria for auditors in the capital market to be more practical. The proposed revisions include
requirements will be revised to be more practical. The proposed compilation of rules covers general rules on customer contact and service, guidelines for derivatives agents and securities brokers in listed
-date and practical framework and aim at mitigating undesirable impacts on securities firms? clients and counterparties as well as the capital market system.The consultation paper is available on
capital market system and will provide more up-to-date and practical framework. The consultation paper is available on www.sec.or.th. Stakeholders and interested parties are welcome to submit comments
step ensures that the measure to be taken is appropriate, practical and respectful to stakeholders’ rights 6. The proposed rule is considered by the relevant sub-committee The sub-committee members