SEC Secretary-General Ruenvadee Suwanmongkol, Deputy Secretary-General Tipsuda Thavaramara and Deputy Secretary-General Sirivipa Supantanet convened an executive meeting with the SEC Management to declare the corporate intent to serve the public and capital market stakeholders with integrity, transparency and corporate governance, on 8 May 2019. The SEC Declaration of Intent is in compliance with the Ethical Standard Act B.E. 2562 (2019), which has come into force since 17 April 2019. Det...
1 -Translation- No. ECF2 046/2562 24 December 2019 Subject: Report of Resolution of Board of Directors' Meeting Re: (1) Disposal of Rights under Loan Agreement, Pledge Agreement and Memorandum of
, transfer of securities ownership , pledge and seize, as well as the closing of the book in order to have information on securities holders, deal with rights and benefits arising from securities such as https
· Forms 2 Does the firm have policies and procedures for the retention of firm’s documentation for a period of time sufficient to permit those performing monitoring and review procedures to evaluate the
rights, construct, purchase, provide, sell, dispose, rent lease, hire purchase, grant of hire purchase, borrow, lend accept pledge, accept mortgage, exchange, transfer, accept transfer, or take any action
inspection to evaluate its compliance with its policies and procedures? – Monitoring Process If yes, please specify 1) Who perform such function e.g. in-house, outsource, network firm? 2) How often the firm
investment grade ratings bonds and (2) investment units of a mutual fund, which trades on every business day and does not have any restriction on transfer and pledge. In addition, such securities will be
Questionnaire A Monitoring the Firm’s Quality Management Policies and Procedures Firm's Reference /Guidance Notes Description A1 Does the whole firm perform inspection to evaluate its compliance with