work system that prevents the use of client assets in the company’s custody to engage in any activities or seek benefits, regardless of the means. This includes putting in place separate accounts for

personal relationships and/or connections in relation to placing, knowing about or colluding to place trading orders and/or allowing other persons to use securities trading accounts had placed SCN share

2018, the six offenders with personal relationships or connection through financial routes, stocks, business or related persons, colluded by dividing tasks to place orders to buy and sell PRINC shares in

place standards for collecting, compiling, using or publishing personal data in order to operate and do business related to data with confidence in legal compliance. Meanwhile, Thailand has measures

Board Responsibilities which receive the most weight in the ACGS. In addition, the results show that Thai listed companies place more emphasis on the policy implementation with a system to review and

seminar co-hosted by PAPC, SEC, Faculty of Law, CU, FPTI and ACIOA shows the vigorous sign that all sectors place importance to and recognize benefits of personal data protection. In addition, the first

to the following cases taking place at different branches:   (1)  In the case of {A}, the findings showed that she had failed to give complete information and advice on redemption of retirement mutual

.? These kinds of incidents took place repeatedly, but the company which was under his direct supervision did not conduct proper examination.?In 2014, the SEC found a similar misconduct and took legal action

accounts of those related clients. She later withdrew the money for her own personal gains, causing damage to the solicited clients who had made the deposits in the first place. Consequently, Maybank Kim Eng

analyst will be allowed to cover no more than 15 securities in average; published research must be updated at least 4 times a year; brokers must put in place control over quality of investment research and