attend and exercise voting rights at AGM was non-compliance with the law on public limited company.Earlier, the SEC received complaints stating that Chairman of the Board of Nation Multimedia Group Public
) 10/2544 เรื่อง ขอความร่วมมือจัดส่งคู่มือการปฏิบัติงาน (Compliance manual) 06/02/2544 2. หนังสือเวียน ที่ กลต.นจ.(ว) 2/2560 ซักซ้อมความเข้าใจเกี่ยวกับการให้คำแนะนำแก่ผู้ลงทุนเพื่อประกอบการตัดสินใจ
Requirements | - |- Online Submission | - |- Standard Practices | - |- Risk Control | - |- Compliance / Internal control | - |- Conflict of interest | - |- Complaint Handling | - |- Information Technology
secure or satisfy the obligations incurred incidental to or resulted from derivatives transaction for the account of a customer, it shall, in compliance with the rules specified in the notification of the
Company Name Licensee Type Status Company Name : Licensee Type : Score Type : Anti-Corruption Status : Certified by CAC Declared to join CAC Ensure its compliance by parent company Assessment Type : Status
SEC requests that business operators implement the BCP that must cover key work systems, including the trading system, the risk control system in compliance with the Net Capital Rules and the
materially high volume. {A}'s conducts were deemed trading securities on behalf of the client using his own decision, which was an interference with client's assets and non-compliance with standards of conduct
valuation of investment in PT Sunhub Mining International (SMI), an associated company, and share of loss of investment in SMI; resulted in non-compliance with the Thai financial reporting standards.The SEC
risk management capacity and lower potential disruption to the overall market in compliance with international standards. Essentially, the amendment would require that the senior management of securities