Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries

Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries

Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries

Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries

Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries

In addition, there will be three director-level switches, namely:  1. Mrs. Sureerut Suradecha, from Director of the Sales Conduct Supervision Department to Director of the Investment Management

Earlier, the SEC instructed KWI to conduct a special audit and submit the special audit report by 25 May 2025.* The company later requested a deadline extension to 31 August 2025 to cover the entire

continuously in a way of concealment ,by using his account and 4 nominee accounts and aiding or abetting from Mr. watcharachai watcharatham to conduct financial transaction in both of Mr. Werawat’s and nominee

Previously, the SEC instructed MVP to conduct a special audit in relation to certain transactions that raised concerns based on the auditor’s observations, the review of financial statement

. Clause 2 In order that an intermediary obligates to operate its businesses properly, fairly and in compliance with codes of conduct and professional standards and in order that an intermediary’s services