a negligence of reasonable performance of duty in supervising persons under the line of command to refrain from violating or failing to comply with the laws governing securities and exchange or the
standards as stipulated by an association under the Office’s approval; (18) Performing the management duty in a manner that indicates a negligence of reasonable performance of duty in supervising persons
……………………………….…….………. Detail of such incident ……………………. (attachment) (if any) O No (5) Was removed from office of director, manager or person with managing power of other securities company under section 144 or section 145 of
such incident ……………………. (attachment) (if any) O No (5) Was removed from office of director, manager or person with managing power of other securities company under section 144 or section 145 of the
policies, regulations, and guidelines for supervising the trading of derivatives by the employees in order to prevent the illegal use of internal information by the employees and conflicts of interest in the
The derivatives broker shall put in place policies, regulations, and guidelines for supervising the trading of derivatives by the employees in order to prevent the illegal use of internal information by
Our Ref : No.V 009 /2018 February 26,2019 Subject : Explanation for operation of the year 2018 Attn : Managing Director The Stock Exchange of Thailand Varopakorn Public Company Limited would like to
1 - TRANSLATION - VS/PC (Q-Con) 026/2017 July 27th, 2017. Attention Managing Director The Stock Exchange of Thailand Subject : Management Discussion and Analysis the second quarter ended 30 June 2017