operating crowdfunding portals. The supervised areas include measures and implementation against conflicts of interest, member data storage, disclosure of issuer information, issuer compliance monitoring
Bangkok, January 17, 2014 ? The SEC is seeking public comment on proposed revisions to the rules on prevention and management of conflicts of interest and proprietary trading applicable to both
solicitation or providing services for clients, information disclosure, advisory service, information or report filing with the SEC, prevention and management of conflicts of interest, and services provided by
matters can tarnish the credibility of THL management and internal audit system while connected transactions with related entities can also cause conflicts of interest, which could subsequently affect
protecting investors’ rights. For example, having personnel readiness and work systems related to duty performance and establishing preventive measures and effective handling of conflicts of interest
, and an annual report including: (1) policy and arrangement of the company to prevent corruption, its response to any conflicts which might have significant impact on the company and any related legal
implement efficient, reliable and systematic credit rating methodologies and operate independently without conflicts of interest. Inputs must be managed efficiently while disclosure of public information must
reference. Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 14/2558 Re: Rules in Detail on the Prevention and Management of Conflicts of Interest __________________ By virtue