Microsoft Word - Best Practice - Compensation Committee.doc Director Compensation Best Practices Thai Institute of Directors Association สมาคมสงเสริมสถาบันกรรมการบริษัทไทย 10th Floor Lake Rajada
meeting reached the following conclusions: 1. The SEC re-emphasized that the mutual goal of all parties concerned is to develop and promote market efficiency and the compensation policy is only one of
brokerage firms? marketing officers to address the issues of compensation policy and job mobility of marketing officers. Earlier today, marketing officer representatives submitted a petition to the SEC in
Conduct dated 21 June 2005. As Kunakorn?s misconduct was deemed a carefully laid plan to deceive the client, without evidence of remedies for substantial damage or compensation paid to the client, a severe
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
investment decision making. Regarding the custody of client assets, the SEC suggested that securities companies adopt tighter measures, especially for the custody of client assets in the long-time inactive
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
securities company, when requested under the KYC/CDD process; (4) the account is re-activated by a large size of transaction after being inactive for some time; (Unofficial Translation) - 8 - (5) significant
-face meeting) with staff of the securities company, when requested under the KYC/CDD process; (4) the account is re-activated by a large size of transaction after being inactive for some time