client; (c) to assess suitability for providing services to the client; (d) to consider the ability of the client to comply with the agreement for service provision. (2) have a procedure for providing
client; (c) to assess suitability for providing services to the client; (d) to consider the ability of the client to comply with the agreement for service provision. (2) have a procedure for providing
the SEC Office in accordance with the form and procedure provided on the electronic system of the SEC Office. Clause 5 In case the SEC Office deliberated that an applicant has correctly and completely
executive of any listed company on the Stock Exchange and are banned from holding such positions while the complaint procedure is underway. In any case, filing a criminal complaint commences the criminal
than the juristic person under (8); (7) international financial institutions; (8) government agencies and state enterprise under budget procedure law; (9) the Financial Institutions Development Fund; (10
purposes through global guidelines and recommendations that promote transparency and disclosure, thereby underpinning the integrity of the market. The Principles also raise awareness of the importance of
investment. In this regard, they can help to raise good governance in the market by investing in companies complying with good governance principles, social and environmental responsibilities, and anti
an insider economy with a secrecy culture like Thailand, where investors have less confidence and more risk aversion, these neutral words may raise investors’ skepticism about whether neutral
investment. In this regard, they can help to raise good governance in the market by investing in companies complying with good governance principles, social and environmental responsibilities, and anti
advice; (6) measure on prevention of conflict of interests provided by the investment advisory company; (7) procedure and source of information used in giving advice to the customer; (8) procedure and