IPO companies. A Financial Advisor also has to monitor its clients’ implementation of such CG policy and assess the appropriateness of such policy. A Financial Advisor should give advice to its
standards. 2 Statement of Intent (2017) The capital market plays an important role in society and the national economy. The SEC, as a capital market regulator, strives to enhance the wellbeing of people by
cooperated with the Association of Securities Companies in its issuance of the code of conduct on relationship with clients. Brokers must closely monitor clients’ trades and ensure the quality of advice given
://fsahandbook.info/FSA/html/handbook/COBS/2/2 Financial Reporting Council 5 The Principles of the Code So as to protect and enhance the value that accrues to the ultimate beneficiary, institutional investors should: 1
2023,” as part of the annual strategy aimed at fostering collaboration with personnel in the justice system. The primary objectives of the seminar are to enhance knowledge, promote potential, and
operational strategies, aiming to reduce obstacles and enhance business operations to strengthen confidence in the Thai capital market. The meeting was held at the SEC Building on 21 December 2023.Mrs
in Need (of “PA”) Volunteers Network, supports the foundation's activities, particularly in the Community Disaster Warning Network 2023 Project. This collaboration aims to enhance the efficiency of
: Navigating the Information Security Landscape" for company directors, executives, personnel of medium and small-sized listed companies, SMEs, and crowdfunding issuers. The webinar aimed to enhance the
Pittayasophon, provided an update on the progress of the Strong Securities Issuers Project to enhance the quality of listed companies and the duty performance of personnel in the capital market, with the main
out activities to enhance the quality of the financial reporting system. These included strengthening proficiency of all stakeholders in the financial report preparation process by promoting a better