, inappropriateness, or deficiencies in performing the duties. FAs may resort to information from a specialist, having verified that the person is truly knowledgeable and competent in that field. FAs shall have a

be a job description explaining duties and responsibilities of each unit and position. 3. There should be a clear segregation between the unit with investment management function and the unit with back

be a job description explaining duties and responsibilities of each unit and position. 3. There should be a clear segregation between the unit with investment management function and the unit with back

getting well-informed of important information and reports and attending the shareholders? meetings to seek sufficient and necessary information for making investment decisions,? Mrs. Sirivipa said.

. Research reports produced by professional investment analysts are a source of important information that investors can use to make well-informed investment decisions for long-term financial goals.However

.?Trigger fund attracts a lot of investors? interest. This regulatory amendments aim to give investors an access to clearer and fuller disclosure of such funds before making a well-informed investment

information for investors and shareholders to make well-informed investment decisions and monitor company operation. _______________________________ ก.ล.ต. ให้ EIC ให้ความร่วมมือกับผู้สอบบัญชีและแก้ไขงบการเงิน

approval criteria for auditors in the capital market but certain qualifications will be relaxed such as job title, audit experience and experience in giving opinion for financial reports.The consultation

SECURITIES AND EXCHANGE COMMISSION, THAILAND ANNUAL REPORT 2014ANNUAL REPORT 2014 CONTACT INFORMATION This report can be downloaded from www.sec.or.th For more information about this report, please contact: SECURITIES AND EXCHANGE COMMISSION, THAILAND 333/3 Vibhavadi-Rangsit Road, Chomphon, Chatuchak, Bangkok, Thailand 10900 Tel. 1207 or +66 2695 9999 e-mail: info@sec.or.th This 2014 Annual Report is about policies, strategies and performance of the SEC. We aim to supervise and develop the Thai...

derivatives exchange; “derivatives clearing house” means an entity licensed to operate business as a derivatives clearing house; “personnel in derivatives business” means: (1) a person who assumes a job for the