perform their duties transparently for the best interests of shareholders. On December 1, 2004, the SEC issued a circular letter to all listed companies advocating them to determine the qualifications of
Mrs. Pornanong Budsaratragoon, SEC Secretary-General, and the management team convened a meeting with Mr. Chanin Vongkusolkit, TLCA Chairman, and the board members to discuss collaboration in developing and enhancing oversight of listed companies and strategies for preventing and suppressing inappropriate behaviors within listed companies to ensure that they would be able to raise fund from investors and have their securities listed on the Stock Exchange of Thailand (SET), while growing su...
shall also apply to securities dealing of a securities company mutatis mutandis . Chapter 1 Operational Control ___________ Clause 6 A securities company shall establish rules in writing, which are
establish rules in writing, which are approved by its executive committee or board of directors, on the following matters: (1) effective systems for internal control and prevention of conflicts of interest
undertaking; and; (c) allow its business to be conducted with fiduciary duties. (2) determine clearly and harmoniously the mission, strategy, policy and operational plan of the company and its business units
fiduciary duties. (2) determine clearly and harmoniously the mission, strategy, policy and operational plan of the company and its business units. In this regards, guidelines for reviewing the mission
) allow its business to be conducted with fiduciary duties. (2) determine clearly and harmoniously the mission, strategy, policy and operational plan of the company and its business units. In this regards
February 2001. (Unofficial Translation) Page 7 of 12 securities broker of the client, the securities company shall establish the methods and procedures for considering the application for account opening and