such committees, the board should disclose the fact and the procedures it employs to discharge its duties and responsibilities effectively. 1.8 Advice The board should receive advice on its
is a change, a former name or surname must also be specified); (b) identification number; (c) position held as director or executive in other company. (3) a copy of documents of the applicant and its
business, which also reduces redundant identification processes. As a result, trading account opening process in the capital market will be swift, effective, and reliable, also investors will be
identification and verification procedure that is both appropriate and reliable; - Upon any material change in a transaction, or any reason to suspect such information, to verify, to review, and to collect
communication system, the system for client registration, confirmation and Know-Your-Client (KYC) identification and account opening, the complaint handling system, and the human resources management
Identification And Beneficial Ownership For The Securities Industry และ Anti-Money Laundering Guidance for Collective Investment Schemes จึงขอเปิดโอกาสให้บริษัทหลักทรัพย์และผู้ประกอบธุรกิจ http://law.sec.or.th
. Regulations on issuing equity instruments are aimed at protecting the following group of investors: New investors purchasing securities – the company is required to have appropriate qualifications and disclose
auditors were unable to express opinions due to limitation on scope of audit imposed by the companies? managements. AIE and AI must submit to the SEC and publicly disclose the rectified and audited 2014
disclose such information in a video format to better respond to investors? changing behaviors and to ensure that investors would have necessary information for making investment decisions.According to the
investment returns must disclose the internal rate of return (IRR) to give investors information about both short-term and long term returns they expect to get before making an investment decision.For