pros and cons and the costs of compliance 4. Seek approval for the measure from SEC Board/CMSB/SEC Office 5. Conduct public consultation on the measure: focus group meetings/public hearings This
assessment programs organized by international agencies provides opportunities to measure our practice against the international benchmarks. During the past years, Thailand and the Thai Capital Market have
) have measure to control and manage risks associated with business operation; (4) have effective measure on internal control with respect to business operation; (5) have operational system promptly for
, who are capable and have experiences beneficial to business operation; (3) have measure to control and manage risks associated with business operation; (4) have effective measure on internal control
lawyer or the Lawyers Council of Thailand under the Royal Patronage. How SEC Complaint Center handles a complaint: ● SEC Complaint Center will commence handling of your complaint when it has been
service shall be in form specified in the SEC’s Notification. Clause 10 The licensee to operate securities business in the category of investment advisory service shall commence securities business
measure is considered by a sub-committee whose most members are representatives from the private sector. These steps ensure that the measure to be taken is appropriate, practical and respectful to
measure is considered by a sub-committee whose most members are representatives from the private sector. These steps ensure that the measure to be taken is appropriate, practical and respectful to
contain a corrective measure. / X X The votes of the excess units over one-third shall not be counted * / / / Pay dividend in the total amount X / / Correct the proportion within two months
contain a corrective measure. / X X The votes of the excess units over one-third shall not be counted * / / / Pay dividend in the total amount X / / Correct the proportion within two months