SEC has amended the procedure to make it easier for asset management companies to seek a unitholders’ resolution to revise or modify a mutual fund project and its management procedure by
asset report will be more flexible in that the report must be sent within 5 working days of the following month to the clients or at least once a year to the clients who have been inactive for more than a
asset report will be more flexible in that the report must be sent within 5 working days of the following month to the clients or at least once a year to the clients who have been inactive for more than a
misconduct occurred.Following a report of the Stock Exchange of Thailand, the SEC further probed into the case and found that {A} activated an inactive securities trading account of a client in order to submit
/>ไม่มีความเคลื่อนไหว (inactive account) การมีนโยบายในการให้วงเงินซื้อขายหลักทรัพย์และการกู้ยืมเงินเพื่อซื้อหลักทรัพย์ที่สะท้อนถึงพฤติกรรมการซื้อขายหลักทรัพย์ของลูกค้า เป็นต้นนอกจากนี้
, returns and financial statements • All stocks that listed in Thailand, active and inactive • SET + MAI • July 2001 - July 2022 • Follow Fama and French (2018) and Hou et al. (2015) for factor construction
been a change in the necessary circumstances as provided in the first paragraph, the Minister upon the recommendation of the SEC may modify or change the conditions already specified.
been a change in the necessary circumstances as provided in the first paragraph, the Minister upon the recommendation of the SEC may modify or change the conditions already specified.
Securities and Exchange Commission Independent Audit Inspection Activities Report THE ROAD LEADING TO GROWTH 2013 This report is available for download on the SEC website: www.sec.or.th Contact For more information, please contact us at: Securities and Exchange Commission,Thailand 333/3 Vibhavadi-Rangsit Road, Chomphon, Chatuchak, Bangkok 10900, Thailand Tel : +66 2 263 6082 or +66 2 263 6218 e-mail : oca@sec.or.th Root cause analysis Activities for enhancing audit quality Suggestions on how to...
under the KYC/CDD process; (4) the account is re-activated by a large size of transaction after being inactive for some time; (5) significant amount in terms of size/volume is transacted, which is