products : 1. Salesman of a Broker Dealer and/or Investment House 2. Certified Investment Solicitor (salesman for shares or units of Investment Companies) 3. Key officer/s of Fund Managers (Investment
/2554 Re: Commitment between Unitholders and Management Companies Related Forms Form 35 – NRI CIS . doc file / . pdf file Form 35 - retail ASEAN CIS . doc file / .pdf file Form 69 – CIS full
management of the Association of Securities Companies; (14) “group company” means: (a) a company which holds twenty percent or more of the total shares with voting rights of the financial advisor; (b) a
personal data The SEC Office receives your personal data from: Information on relationships between different groups of persons from cases under investigation: The SET Group, securities companies, and
2018 • Granted the ESG 100 Certificate as one of the 100 listed companies that have outstanding Environmental, Social and Governance (EGS) performance for four consecutive year (2015 -present • Focus on
engagement quality control reviewer to evaluate the financial statements of the companies whose shares are listed securities and the companies applying for approval of newly issued shares before affixing
and provide service as a securities trading center must apply for a license from the SEC Board. The application must be jointly made by not less than 15 securities companies. The securities trading
Association และ CLSA Asia-Pacific Markets โดยการประเมินโดยล่าสุดแบ่งออกเป็น 7 หมวด ดังนี้ Government & public governance Regulators CG Rules Listed companies Investors Auditors & audit regulators Civil society
(Escalating Investee Companies) หลักปฏิบัติที่ 5 เปิดเผยนโยบายการใช้สิทธิออกเสียงและผลการใช้สิทธิออกเสียง หลักปฏิบัติที่ 6 ร่วมมือกับผู้ลงทุนอื่นตามความเหมาะสม (Collective Engagement) หลักปฏิบัติที่ 7 เปิดเผย