To break or not to break: Evidence from price discovery process of Thai stocks during the pre-opening of each trading session To break or not to break Evidence from price discovery process of Thai
information. • Managing conflicts of interest The SEC Code of Conduct and the procedure for managing conflicts of interest are incorporated into the Code of Governance to enhance the boards’ duty performance
. Notification of the Securities and Exchange Commission No. Kor Dor. 17/2539 Re: Rules, Conditions and Procedure for Applying for License and Granting of License to Provide Services as Securities Registrar By
acceptance systems, compliance with procedures, and documentation of these processes. In addition, inappropriate sequence of client acceptance process leads to risks in client acceptance process because audit
by CFC process? Does the alleged consent to extinguished the case by CFC process The SEC Office presents the case to CFC for consideration. CFC considers and imposes a fine. Does the offender pay the
company (“AMC”) to easier receive unitholders’ resolution in revision or modification of mutual fund project or management procedure Amendments Details 2.1 Imposing fiduciary duty of AMC in mutual fund
involved are capable and collaborative that the financial reporting system would yield the much needed result of high quality financial reports. Being main contributors in the financial reporting process
No.KorKhor.5/2551 Re: Determination of Form and Procedure of Application and Form of License for Undertaking Securities Business Pursuant to the Ministerial Regulation Concerning Granting of Approval for