. In response to such change, the SEC closely monitors mega trends in international markets and aims to ensure the Thai capital market regulatory framework does not impede new developments. Equity
investment before soliciting customers, especially the elderly aged 60 years old or more and inexperienced investors, to invest in fund products suitable for their risk profile
evaluations and at appraisals – what is emphasis on commercial objectives, or technical ability? 4 What is the risk of inexperienced people being out of depth at client (and effect on their dealings with client
/targets/recovery rates? 7 What is the risk of inexperienced people being out of depth at client (and effect on their dealings with client and superiors) – how is this prevented? What process does the firm
or person who may have conflicts of interest that may impede the exercise of independent judgment, and any relationship that causes the inability to freely give comments on the operation of the
business relationship with the securities company, parent company, subsidiary company, affiliate company or person who may have conflicts of interest that may impede the exercise of independent judgment, and
may have conflicts of interest that may impede the exercise of independent judgment, and not have any characteristic that causes the inability to freely give comments on the operation of the derivatives
Reform Priorities in Asia: Taking Corporate Governance to a Higher Level Taking Corporate Governance to a Higher Level reform priorities in Asia 2011 REFORM PRIORITIES IN ASIA: TAKING CORPORATE GOVERNANCE TO A HIGHER LEVEL 2011 This work is published on the responsibility of the Secretary-General of the OECD. The opinions expressed and arguments employed herein do not necessarily reflect the official views of the Organisation or of the governments of its member countries. This document and any m...