Bangkok, 24 November 2017 ? The SEC urges investors to read important information on the prospective listed companies to examine duty performance of company directors and executives before making investment decisions. Investor education, market discipline and stakeholder participation are also emphasized apart from supervision and enforcement.Mrs. Sirivipa Supantanet, SEC Assistant Secretary?General, said: ?Annual report and other reports such as quarterly financial statements and management dis...
, which would help the visitors assess their risk tolerance before choosing financial products accordingly. Visitors are also welcome to participate in the SEC quiz games on the capital market and
their own discretion in choosing RMF or LTF destination funds if the transfer criteria are clearly disclosed beforehand in the fund scheme for the unitholders? information; - Requiring asset management
services as investment consultant and investment analyst and choosing products for investors. Moreover, providing research reports that cover ESG aspects of listed companies will urge listed companies to
principle of widespread distribution to general subscribers without specific allocation to any particular individual (cherry picking), and must not be an arbitrage in evasion of regulatory compliance
, especially in overseeing the quality of financial reporting process, selecting quality auditors, and communicating adequately with the auditors. It also served as a channel to provide information and useful
guideline for selecting a suitable asset management companies and monitoring fund performance; 5) To provide a fact sheet for fund members to choose an investment plan; and 6) To provide information on
policy(2) Preparing consent forms(3) Selecting and implementing appropriate security safeguards such as access control(4) Producing and managing “Record of Processing Activities (ROP)” that will used to
IOSCO on 7 June 2019 in accordance with IOSCO criteria for selecting the Annual Meeting host three years in advance. An average attendance of the Annual Meeting is 600 persons from more than 225 capital
information to understand before selecting their investment policy, SEC had then discussed with relevant departments to revise the details of such regulations, in order for the provident fund members to