กำกับหลักทรัพย์และตลาดหลักทรัพย์ (“สำนักงาน”)ได้ดำเนินการการจัดอบรมเชิงปฏิบัติการหลักสูตร Compliance Meeting ให้กับเจ้าหน้าที่ดูแลการปฏิบัติงานด้านหลักทรัพย์ (compliance officer
liable for AS’s failure to offer newly issued securities to directors or employees which is in compliance with rules, conditions and procedures as specified in the notification of the Capital Market
liability arises from his failure to issue orders or perform the duties required to ensure compliance with the specified regulations, resulting in IHL’s delayed submission of the report. SEC Act S.300 in
orders or perform the duties required to ensure compliance with the specified requirements, resulting in THL’s delayed submission of the annual financial statements SEC Act S.300 in conjunction with 56
procedures as specified in the notification. In this regard, Bitazza's compliance system for monitoring the operations of the digital asset business operator was deficient. In particular, Bitazza failed
application for an offer for sale of units of a REIT shall be approved by the SEC Office upon compliance with the following rules: (1) general characteristics of the REIT: (a) the trust instrument or the draft
be in compliance with the following regulations: 1. there shall be sufficient checks and balances at least in compliance with the regulations under Clause 17; 2. the positions of chairman and manager
Governance through Responsible Data" at the SET Sustainability Forum 1/2024: Grounding Greater Governance for Good along with Ms. Wiyada Wiboonsirichai, Head of Global Internal Audit and Compliance, Banpu
financial service users to facilitate the financial sector’s smooth compliance with the Personal Data Protection Act and the achievement of the intended outcomes in accordance with the true intention of
ปฏิบัติไม่เป็นไปตามหลักเกณฑ์ เงื่อนไข และวิธีการที่ประกาศกำหนด กล่าวคือ แต่งตั้งผู้รับผิดชอบสูงสุดในหน่วยงานกำกับดูแล ("Head of Compliance") รายใหม่ ล่าช้ากว่าระยะเวลาที่ประกาศกำหนด ทั้งนี้