Investor Return – Mind the Gap ©2015 Morningstar, Inc. All rights reserved. Kittikun Tanaratpattanakit Investor Return – Mind the Gap Agenda 2 gBackground g The Real Test is Whether Investors Succeed
nature of the liabilities of the institutional investor. 4.2 Active monitoring Institutional investors should monitor closely the companies in which they invest in order to assess their individual
operations involving supervision of market activities or monitoring of compliance with the stated laws, rules and regulations are generally managed within the SEC Office, except for licensing, which must be
. However, the SEC will continue monitoring relevant developments, supervision, and actions in various aspects to ensure that effective investor protection measures will be in place before further developing
Prioritise Advancing the Best Interest of Clients 40 Principle 3 Make Informed Investment Decisions and Engage in Active Ongoing Monitoring of Investee Companies 42 Principle 4 Apply Enhanced Monitoring of and
suggestions, please email aunchisa@sec.or.th and archari@sec.or.th. Thank you again for your kind contribution. 1. Aggregate limit of 3 million baht on total investments in ICOs by each retail investor in any
. • Corporate governance to enhance value and protect minority shareholders. - Cost of capital reduction. - Reducing monitoring costs. - Information risk, transparency and quality of details. - Capital waste
The Securities and Exchange Commission (SEC) Short selling is a mechanism that enhances market efficiency and is part of the price discovery process. To make a short selling transaction, investor
consideration process for all listing channels Add investor alerts on companies possibly fail to comply with regulations or show issues of concerns Impose stricter actions against listed companies with non
countries, such plan shall at least contain details of an efficient operational management, monitoring and supervision system, and record keeping system including readiness of personnel; (4) have good