regarding their Listed clients and if so, did this change the nature of services/fees charged? 11 Does the firm document its understanding with the client regarding the services to be performed by obtaining
); • unfamiliar systems and in-house expertise to assess them; • understanding and evaluation of controls on complex systems; and • effect of Internet and e-commerce. 2 How is firm dealing with greater use of
Tackling Fracking: Collaboration with Company Experts Brings New Understanding to Risks .................... 29 Escalation Strategies: The Council of Institutional Investors’ Ignored Majority Votes
providing to clients, and the following aspects should be taken into consideration: (1) select and assign personnel with knowledge and understanding of the high-risk or complex capital market products to
with knowledge and understanding of the high-risk or complex capital market products to communicate with and provide services to clients; (2) examine the client’s knowledge by taking the following
with knowledge and understanding of the high-risk or complex capital market products to communicate with and provide services to clients; (2) examine the client’s knowledge by taking the following
investment analyst by a regulator in an ASEAN country which is accepted by the SEC Office.1 1 an ASEAN country which is accepted by the SEC Office means a signatory to the Memorandum of Understanding on the
ขอเชิญส่งนักวิเคราะห์การลงทุนเข้าร่วมอบรม หัวข้อ Understanding the impact of sustainability on the value and performance of companies; Integrating climate-related risks and opportunities into equity
first bilateral memorandums of understanding designating multilateral cooperation for digital transformation of the Thai capital market in line with Thailand 4.0 Blueprint, on 27 May 2019 at the SEC
Given the prolonged period of low interest rate in the Thai bond market, many debt securities issuers are increasingly issuing for sale subordinated perpetual bonds which have more complex