services used, names of the service providers, and statistics of votes exercised using proxy or advisory services. Principle 5.6 Institutional Investors should disclose their approach to stock lending and

securities business licensees from including in their names the words ?securities company limited.? The consultation paper is available on www.sec.or.th. Stakeholders and interested parties are welcome to

-_investment_policy_and_management_plan_9-2013.pdf [ 6 ] Step Three: Develop a Focus List Some public pension funds may have their list of ESG engagement efforts developed externally, as when they are mandated by state legislatures through

. contact person; f. arranger of the offer; and g. other parties who are responsible for disclosure of information contained in the registration statement (if any). C. Auditors Provide the names, addresses

(Thai/English), date of birth, citizenship, sex, marital status, father’s name,/mother’s name, (former) titles, (former) surnames, name of spouse, IP numbers, behavior for visit to the website of the SEC

refrain from taking certain actions. Examples of the covenants include a. prohibition on the payment of dividends if certain conditions are met in order to prevent depletion of the issuer’s funds that are

management in common with the issuer. Close members of an individual’s family are those that may be expected to influence, or be influenced by, that person in their dealings with the issuer. An associate is an

market have sufficient mechanism to allow them to safeguard their interest. Such is the fundamental objectives of the SEC and other Thai authorities who have been actively promoting many measures to

exercising of their duties to the fullest capacity in order to create a well-balanced ecosystem and subsequently financial reports – an output of the ecosystem – that are fair, reliable and most useful for the

to thank all parties for their contributions throughout the year to ensure that the Thai capital market will remain the long-standing pillar of our sustainable economy. 4 Message from the Secretary