other agents employed, and ensure they are being met. They should oversee the management of risk and the work of all their agents such that they deliver fully in the interests of the beneficiaries or
interest of our members. Principle 3: Oversee asset managers to make informed investment decisions and engage in active ongoing monitoring of investee companies. Investment decisions should take into account
measures for investor protection. In this regard, the SEC Office may 5 determine conditions for the applicant to comply with as well. Clause 9 In the case where it appears to the SEC Office a fact causing
required to sumbmit such attachments to the Stock Exchange of Thailand (SET) as well. - 3 - SEC Classification : ใชภ้ายใน (Internal) Part 1 Business Operation and Operating Results 1. Organizational
. Engagement is purposeful dialogue with companies on these matters as well as on issues that are the immediate subject of votes at general meetings. 5. Institutional investors’ activities include decision
increased direct oversight of auditors of listed companies, and local accounting standards are converging to International Financial Reporting Standards. The SEC and Bank of Thailand (BoT) are well resourced
- Review business operating procedures to oversee that they are in compliance with rules and regulations of the Securities and Exchange Commission and the Stock Exchange of Thailand as well as other laws
- Review business operating procedures to oversee that they are in compliance with rules and regulations of the Securities and Exchange Commission and the Stock Exchange of Thailand as well as other laws
- Review business operating procedures to oversee that they are in compliance with rules and regulations of the Securities and Exchange Commission and the Stock Exchange of Thailand as well as other laws
beneficiaries or clients, communicate them to portfolio managers and other agents employed and ensure they are being met. They need to oversee actively, the management of risk and the work of all their agents