asset report will be more flexible in that the report must be sent within 5 working days of the following month to the clients or at least once a year to the clients who have been inactive for more than a
asset report will be more flexible in that the report must be sent within 5 working days of the following month to the clients or at least once a year to the clients who have been inactive for more than a
misconduct occurred.Following a report of the Stock Exchange of Thailand, the SEC further probed into the case and found that {A} activated an inactive securities trading account of a client in order to submit
ensure that such investors would have adequate access to relevant information to better understand financial products before making well informed investment decisions.?The consultation paper is available
well as significant events after offering for sale of the aforesaid financial instruments, and would prescribe organization of annual meetings in a similar way as required of listed companies. This is to
management of information technology systems as well as the security of the information system is an essential issue in order to prevent the risks that may occur from cyber threats. Therefore, SEC has
of their salespersons. Moreover, the rule will introduce more convenient tools and channels for investors to obtain better understanding on products being offered to them in order to make well-informed
benefits and shortcomings as well as the potential impacts on the bondholders both in cases of approval and decline of approval for the above matters with respective supporting reasons, and clearly provide
). The SEC requires that the bondholder representative analyze the benefits and shortcomings as well as the potential impacts on the bondholders both in cases of approval and decline of approval for the
such information publicly and promptly because financial statements are material information for investors and shareholders to make well-informed investment decisions and monitor company operation.?