Exchange Act B.E. 2535 (1992) (SEA)*, while {A}, the most senior executive who was responsible for the company's business operation, was involved in those misconducts and failed to perform supervisory duties

SEC has issued the rules permitting the derivatives business operators or derivatives agent to carry out capital market product trading service in accordance with the Portfolio Advisory and Program

implement  I Code in the financial management for its members. The I Code is a guideline for financial management of institutional investors, which emphasizes sustainable returns, as well as responsible

Bangkok, March 21, 2013 ? The SEC informed all securities companies, asset management companies, financial advisors, and derivatives business operators in the capital market on the promulgation of

its business with honesty, fairness and integrity by strongly being concerned about the market integrity as a whole; (2) skill, care and diligence An intermediary shall conduct its business with due

with honesty, fairness and integrity by strongly being concerned about the market integrity as a whole; (2) skill, care and diligence An intermediary shall conduct its business with due skill, care and

integrity by strongly being concerned about the market integrity as a whole; (2) skill, care and diligence An intermediary shall conduct its business with due skill, care and diligence; 2 (3) management and

of all 25 audit firms and individual approved auditors. The average score weighed against the total market capitalization was 1.64, compared to 1.79 in the first-cycle inspection during 2010-2012

Supervisory Board concerning Rules on Personnel in Capital Market Business, to perform duty as a branch manager or responsible person for operating a branch office by complying with the following rules: (1) in

Notification of the Capital Market Supervisory Board concerning Rules on Personnel in Capital Market Business, to perform duty as a branch manager or responsible person for operating a branch office by complying