first assessment, all listed companies are expected to achieve Level 1, signifying intent to comply with laws and regulations with ability to communicate with all stakeholders.Vorapol Socatiyanurak, SEC
, indicating that he had been authorized by his client to make securities trading decisions on the client's behalf. The communication record showed that {A} called to inform his client of the trading orders
indicating that {A} sent trading orders and afterwards informed his client's authorized person. Such authorized person did not reject the transactions. From the record, in addition, {A} specified details of
Kasikorn Securities Plc., the SEC probed into {A}'s case and found certain communication record, which he later admitted, indicating that he had been authorized by his client to make securities trading
comparison indicating maximum, minimum and average returns among mutual funds in the same category and will thus serve as useful information for making investment decision. The proposed rules classify mutual
must not have behavior showing any objectives to engage in investment advisor business and must be registered with SEC. Even though the investment planners are waived in this matter, they are required
periods etc. 2. Price movements graphs, e.g., share prices during one year after IPO compared with IPO prices, graphs showing relative returns compared to sector’s benchmarks and to SET index or MAI index
that the applicant had transferred all shares of such company to a third party despite various factors indicating that the transaction may not exist. This would lead to incorrect and incomplete
signifying companies? health, while professional integrity will serve the society with accurate information.?Prateep Tangmatitham, TLCA Vice Chairman said that ?On behalf of listed companies, we are very
, life-insurance companies, Government Pension Fund, and Social Security Office, all have in place policies against corruption and achieved level 1 or higher; signifying strong commitment of their