issue this Notification in order to monitor and control the volume of such transactions made by derivatives broker.
involved; Providing agencies with sufficient powers to regulate and monitor market behavior, * The participating Asian economies include: Bangladesh, China, Hong Kong China, India, Indonesia, Korea
., the fact that {A}, an executive director and a senior executive of the company as well as a financial advisor supervisor approved by the SEC, had serious performance deficiency indicated that the
which are in compliance with sustainable development and used to define business targets.Besides, institutional investors play a major role to drive and monitor listed companies for adoption of
. Investors should object to any trading activities that do not comply with their investment objectives and monitor regularly the ongoing record of their trading transactions sent to them by the responsible
auditor of parent company AI to issue a disclaimer and express a qualified opinion on the consolidated financial statements for the year 2015 as well with regard to the same issues. The SEC therefore
implement I Code in the financial management for its members. The I Code is a guideline for financial management of institutional investors, which emphasizes sustainable returns, as well as responsible
issuers, related intermediaries and those who transact with digital assets, and lessen chance for people on deception or be at disadvantages as well as allow the public sector to have tools to monitor
role in contributing towards the long-term financial well-being of Thai people. Accordingly, SEC welcomes business operators to provide the wealth advice services. The key of the 5-step process is to
the operators. The report shall, however, contain information as specified by SEC. The required information will enable SEC to efficiently monitor the operator’s progress in resolving the complaints