Bangkok, October 16, 2015 ? The SEC will pay a closer attention to investors? behaviors and factors influencing their decision making as more studies show rationality is not the only criterion for making an investment in a mutual fund. The SEC studies on behavioral finance have revealed that investors tend to take many other factors into consideration as well when making a decision to invest in a mutual fund. Such factors include emotion, personal belief and attitudes toward different channels o...
Representative of Private Fund Provident Funds Management Companies / Custodians / NAV Verifier / Auditors / Fund Administrators Derivatives Funds Derivatives Fund Managers Marketing Representative of
would show a bigger picture of their contribution, in terms of work time, productivity and otherwise, to their respective work, and whether their multiple employments are likely to raise competition or
Transparency Board Size (Bigger) Board Independence (Higher) Board Duality (Separated) Audit Committee Meeting (Higher) Main Results – Cont. Higher Corporate Disclosure and Transparency Lower Audit Report
, Executives, Auditors, Plan Preparers and Plan Administrators (Form 59) Information, Certification and Consent of the Company's Director and Executive (Form 35-E1) Letter of Consent to Disclose Information
Commission No. SorJor. 38/2561 Re; Preparation of Report on Changes to the Securities and Derivatives Holding of Director, Executive, Auditor, Plan Preparers and Plan Administrators, Chapter 2, Clause 7
elevate their audit work quality to be on par with bigger audit firms. This means the work plan that the SEC supports is a success and the quality of small and medium-sized audit firms is on the rise. In
bigger than that of SME pursuant to the Law on SME Promotion (for example, a company with revenue more than 300 million baht in the trading and service businesses) are eligible to raise fund by issuing and
Derivatives Holding of Directors, Executives, Auditors, Planners and Plan Administrators, dated 16 July 2018. *** The Notification of the Office of the Securities and Exchange Commission No. Sor Jor. 6/2567
and Clause 4 shall apply to temporary executives, plan preparers, plan administrators and temporary plan administrators in accordance with the Law on Bankruptcy, mutatis mutandis, and in the case where