Bangkok, 24 November 2017 ? The SEC urges investors to read important information on the prospective listed companies to examine duty performance of company directors and executives before making investment decisions. Investor education, market discipline and stakeholder participation are also emphasized apart from supervision and enforcement.Mrs. Sirivipa Supantanet, SEC Assistant Secretary?General, said: ?Annual report and other reports such as quarterly financial statements and management dis...
market development: 1. Application of sliding scale brokerage fees ? The sliding scale system where brokerage fees will be set according to trading volume will commence as scheduled in early 2010 when
notification which are Finnomena did not take the client’s knowledge assessment result for consideration of the complex fund sale service and Finnomena did not have selecting seller procedure. SEC Act S.113
, especially in overseeing the quality of financial reporting process, selecting quality auditors, and communicating adequately with the auditors. It also served as a channel to provide information and useful
when selecting securities brokers and should seek verification on the securities licensees of such brokers by visiting the SEC website at www.sec.or.th or inquiring the information from the SEC Help
policy(2) Preparing consent forms(3) Selecting and implementing appropriate security safeguards such as access control(4) Producing and managing “Record of Processing Activities (ROP)” that will used to
profiles] phanchul Typewriter [Indicate the status, at least one] phanchul Typewriter [When selecting this one, fill some more description] phanchul Typewriter [When selecting this one, fill some more
brokerage fees will apply. 2. During the following two years, from January 14, 2010 to December 31, 2011, the calculation of securities brokerage fees will be based upon a sliding scale methodology where
financial products. For the best interest of the fund members, they should also be well-versed in selecting asset management companies, monitoring and assessing performance of asset management companies to