examines operation of securities company.  Investors can count on securities companies as they comply with ethical business conducts with a view to building Thai capital market as a truly effective

company as seen appropriate, or clarify the reasons for inability to comply with the I Code, or implement a substitute measure. The I Code principle application and results should be disclosed on

(3) {K}, who neglected inspection and failed to comply with the bank's internal control system, causing the suspicious issues in the dishonest acts to evade inspection. The SEC has therefore banned the

client in replacement of {B}. Seeking benefits from the client during the performance of duties, trading securities on behalf of the client and failure to comply with KYC/CDD procedures were in violation

Notification No. TorLorThor. 8/2557 re: Regulations for Personnel of Business Operators in the Capital Market dated June 3, 2014.In addition, failure to comply with Clause 14(2) of the Notification No. SorKhor

January 18, 2012 and Clause 23(2) of the Notification No. TorLorThor. 8/2557 re: Regulations for Personnel of Business Operators in the Capital Market dated June 3, 2014. In addition, failure to comply with

, accordingly, issued warning letters to all members of audit committee to strictly comply with the duties in the future. In this regard, all audit committee members resigned earlier.Information contained in this

. The above barred periods of serving as director or executive in securities issuing companies or securities companies will take effect when the offenders sign a letter of consent, agreeing to comply

-credit trading infrastructure; and preparations for all sectors to comply with the Climate Change Act. In addition, the SET, in collaboration with the SEC, has strengthened good corporate governance by

must comply with the seven core competency areas*. Participants whose Knowledge Promotion Plans meet the SEC’s evaluation criteria will be entitled to the following benefits and key opportunities