shareholders meetings to give listed companies tangible ideas of how to improve their AGM arrangement. SEC Secretary-General Thirachai Phuvanatnaranubala said: ?The assessment results have shown progressive
guidelines for controlling and examining client?s information and transactions. In 2007-2011, the SEC conducted inspection on operational procedures of securities company, asset management company, and
. Pursuant to the amended rules, the approval process is now divided into two steps, namely: (1) examining the qualifications and appropriateness of the required work systems according to the application
Exchange Commission) Request Form for Examining Information of Persons who the Securities Company will Appoint as Executive Report/Form (Notification of Securities and Exchange Commission) Form 103-1 List
Form for Examining Information of Persons who the Securities Company will Appoint as Executive Report/Form (Notification of Securities and Exchange Commission) Form 103-1 List of Information Intend to
Securities and Exchange Commission) Request Form for Examining Information of Persons who the Securities Company will Appoint as Executive Report/Form (Notification of Securities and Exchange Commission
punishment of those found to be in violation of the Securities and Exchange Act, the SEC said it has made good progress in examining many complaints. Investigations are on-going and more time is needed to
25/02/2005 8. Circular 13/2544 22/02/2001 Report/Form (Notification of Securities and Exchange Commission) Request Form for Examining Information of Persons who the Securities Company will