A derivatives broker shall not reduce its paid-up capital to the extent that its shareholders’ equity is decreased unless permission is granted by the SEC. Clause 4 This Notification shall come into
and APEC Asia Region Funds Passport shall take effect, mutatis mutandis, to the extent that they are not inconsistent with or contrary to the provisions prescribed herein. Chapter 2 Application for
ago or such behavior is not severe to the extent that the person should not be entrusted to perform duty as auditor of entities in the capital market, the SEC may disregard such facts as a cause for
Thailand Taxonomy Board The Thailand Taxonomy Board is established to develop Thailand Taxonomy, a classification system of economic activities deemed as environmentally-sustainable. The Board comprises agencies from both the public and private sectors to ensure all sectors’ views are reflected. In the initial phase, the list of agencies is as follows: 1. Bank of Thailand (BOT)* 2. The Securities and Exchange Commission, Thailand (SEC)* 3. Office of Natural Resources and Environmental Policy and...
Annual Report 2001 A N N U A L R E P O R T 2 0 0 1 S E C U R IT IE S A N D E X C H A N G E C O M M IS S IO N & O F F IC E O F T H E S E C U R IT IE S A N D E X C H A N G E C O M M IS S IO N , T H A IL A N D SECURITIES AND EXCHANGE COMMISSION, THAILAND OFFICE OF THE SECURITIES AND EXCHANGE COMMISSION, THAILAND ANNUAL REPORT 2001 SECURITIES AND EXCHANGE COMMISSION, THAILAND OFFICE OF THE SECURITIES AND EXCHANGE COMMISSION, THAILAND 10th and 13th-16th Fl. Diethelm Towers B, 93/1 Wireless Road, Lump...
decision making by company boards and should reflect the extent to which this is embedded practice. Sustainability or corporate social responsibility (CSR) reports serve a useful purpose for multiple
system to monitor any benefit on the loaned securities given by the issuer of the securities so as to compensate the lender for such benefit; (3) provide for a fair and transparent allocation procedure
collateral, and call for additional collateral from the borrower if necessary to maintain the collateral to loan ratio in compliance with Clause 9 (3); (2) have in place a system to monitor any benefit on the
9 (3); (2) have in place a system to monitor any benefit on the loaned securities given by the issuer of the securities so as to compensate the lender for such benefit; (3) provide for a fair and
from the responsible asset management company. In any case, investors should not leave their fund passbooks and savings passbooks with bank officials. Also investors should monitor movement of mutual