Rules and Appropriate Investment Advisory (3) Knowledge on complex and non-complex capital market products e.g. derivatives, debt securities, and high-risk or complicated mutual funds (4) Investment
established in accordance with the following rules: (1) arrange the structure of the company in an orderly systematic way, according to duties, with a view to: (a) prevent dishonest acts of its personnel; (b
organisational structure of the company shall be established in accordance with the following rules: (1) arrange the structure of the company in an orderly systematic way, according to duties, with a view to: (a
– 2019. ΔGPR Country-specific Monthly GPR Country-specific Yearly GPR Changes in yearly Country-specific GPR ΔGPR_SYS Changes in Systematic components of Country-specific GPR (Global Systematic shock) Δ
not be complicated or costly for shareholders, and the meeting location to be easy to reach. 1.4 The board should allow shareholders to send their questions to the company prior to the 63Section 1
and cyber security challenges while staying ahead of fast-changing cyber threats that are always becoming more diverse and more complicated. Reinforcing a cyber risk-aware culture that involves the
internal committee reviews some or all screening decisions; ▪ Automated IT systems prevent investments in excluded stocks; ▪ Systematic process that alerts the portfolio manager, compliance team and ESG team
Annual Report 2010 ANN UAL REPORT 2010 SECURITIES AND EXCHANGE COMMISSION, THAILAND ASEAN ECONOMIC COM MUN ITY Vision S = Setting High Standard E = Ethical C = Committed Pro = Professional Mission Core value: SEC-Pro The SEC develops and supervises the Thai capital market to ensure efficiency, fairness, transparency and integrity. The SEC is to establish the Thai capital market as an important alternative for investors and fund raisers with an efficient mechanism for investor empowerment and, in...
.; (b) the complicated nature of the action or the tools using for such action such as using a disguised name of other person or establishing a company for concealment; (c) the record of behaviour of