has already served SEC’s sanction in full.   In considering a punitive measure, SEC takes into consideration the following factors: related roles and behaviors of the person(s) under consideration, the

SEC. Therefore, it is deemed that {B} has already served SEC’s punishment in full.  In considering a punitive measure, SEC takes into consideration the following factors: related roles and behaviors

development in Thailand. We support training on UNDP Business Call to Action Impact Lab, which can help to measure and manage impacts on businesses that incorporate SDGs into their operation, and

company as seen appropriate, or clarify the reasons for inability to comply with the I Code, or implement a substitute measure. The I Code principle application and results should be disclosed on

internal control measure concerning the process to drawdown the loan, for example, majority of collective body authorized to drawdown the loan should comprise disinterest directors. - If the management can

benefits received or would have been received from committing offenses shall be remitted to the Ministry of Finance as public revenue.        Note: * Civil sanctions are an enforcement measure under the

ในระหว่างงวด บริษัทได้ น าสว่นเกินมลูคา่หุ้น มาชดเชยผลขาดทนุสะสมที่ ณ วนัท่ี 31 ธนัวาคม 2559 จ านวน 207.89 ล้านบาท กำรประเมิน Purchase Price Allocation (PPA) ของกำรเข้ำซือ้ธุรกิจ ในระหวา่งงวดบริษัทได้ท

ให้ผู้ประกอบธุรกิจต้องแจ้งให้ลูกค้าทราบถึงผลการประเมินความเหมาะสมในการลงทุนหรือทำธุรกรรม (“suitability test”) พร้อมทั้งให้คำแนะนำเบื้องต้นเพื่อให้ลูกค้าเข้าใจเกี่ยวกับ basic asset allocation ซึ่งจะมีผล

underwriting and non- 15 directional trading business, which we undertake only for serving customer needs. KBank has processes in place to measure and control risks within the established limits, under the

and conditions: (1) there shall be management of risks arising from outsourcing thereof; (2) there shall be a preventive measure to ensure business continuity in case another intermediary fails to