of Intermediary to Handle Clients’ Complaints and participation in the SEC Office’s project to resolve disputes by arbitration. 4.3 Having a business plan and an operating system for establishing a
20T H ANNIVERSARY 1 Securities and Exchange Commission, Thailand Annual Report 2012 SEC ANNUAL REPORT 20122 THE YEAR OF CHANGE The year 2012 was the time for change to become the visionary partner whose balance between proactive and preventive approaches has led to stakeholders’ confidence in the Thai capital market. THE YEAR OF CHANGE 20T H ANNIVERSARY 1 02 MESSAGE FROM THE CHAiRMAN 04 MESSAGE FROM THE SECRETARY-GENERAl 06 SEC BOARd 09 CApiTAl MARkET SupERviSORY BOARd 12 ExECuTivE OFFiCERS 13 O...
notification of the Securities and Exchange Commission Re: Requirements for securities companies to handle customer’s compliant; (2) the investment management system which has clear procedures and methods of
Exchange Commission Re: Requirements for securities companies to handle customer’s compliant; (2) the investment management system which has clear procedures and methods of operation before and after
in the notification of the Securities and Exchange Commission Re: Requirements for securities companies to handle customer’s compliant; (2) the investment management system which has clear procedures
overlapping powers of the Revenue Department and the BOI should be addressed as it causes the firms trouble in profit and loss calculations. ❑ the BOI should be free of political pressure to avoid the selection
net loss arising from selling each investments; e) total amount of net profit items and total amount of net loss arising which not occurred from the securities for trade. (6) Investments in the trouble
trade. (6) Investments in the trouble business In case the company invests in a company which is having problem relating to financial position and outcome of business operation, such as a financial
loss arising which not occurred from the securities for trade. (6) Investments in the trouble business In case the company invests in a company which is having problem relating to financial position and
mortgage, it may cause more trouble, time and damage to the Company than this transfer of ownership of the machinery. Therefore, the Company has agreed to transfer the ownership of such machinery to the