, and compliance to the SEC Act and other related law. They shall be liable for the penalties under section 274 paragraph 2 of the SEC Act. This case is in the process of inquiry by the inquiry official
ที ่1 : บทน า โดยท่ีส านกังานมีนโยบายส่งเสริมบทบาทการปฏิบติังานของหน่วยงานก ากบัดูแลการ ปฏิบติังานของผูป้ระกอบธุรกิจในตลาดทุน (“compliance”) เพื่อยกระดบัความส าคญัของวชิาชีพดงักล่าว และท่ีผา่นมาส า
Notifications of the Office of the Securities and Exchange Commission, orders and circulars issued under or prescribing guidelines in compliance with Notification of the Securities and Exchange Commission Re
prescribing guidelines for compliance with the Notification of the Securities and Exchange Re: Rules, Conditions and Procedures in Filing of Annual Financial Statements and Preparation of Reports of the Stock
: Details of the Heads of the Internal Audit and Compliance Units Attachment 4: Assets for business undertaking and details of asset appraisal Attachment 5: Unabridged https://publish.sec.or.th/nrs/8617pe.doc
://publish.sec.or.th/nrs/3890pe.doc แบบแสดงรายการข้อมูลการเสนอขายหลักทรัพย์ directors of subsidiaries Attachment 3: Details of the Heads of the Internal Audit and Compliance Units Attachment 4: Assets for business
firms in the capital market, and regularly inspects and issues inspection https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=9346 SEC reveals non-compliance of EIC tender offer price Bangkok, January
own clients. It also aims to ensure that the clients have work systems in place to control and monitor compliance with the relevant regulations; (2) To require that securities companies put in place