to make sure that the personal data management is compliance with PDPA by creating Data Governance Policy and Guidelines for personal data protection management throughout the data life cycle
Bangkok, 11 September 2017 - The SEC has suspended the approval of five securities investment consultants for failing to perform duties in compliance with professional standards. The suspended
channel anytime. {A}'s actions were deemed non-compliance with investor contact's standards of conduct of Clause 14(7) of the SEC Notification No. SorKhor 49/2552 Re: Approval for Investor Contacts and
this case also revealed that there were weaknesses in UBS?s internal control and compliance systems which failed to detect the irregularities in this matter which had continued for over nine months. The
has achieved high levels of compliance in a number of key areas. The report notes that corporate governance reforms implemented in Thailand have enhanced investor trust and protected investors? rights
has achieved high levels of compliance in a number of key areas. The report notes that corporate governance reforms implemented in Thailand? have enhanced investor trust and protected investors? rights
underlying shares hereunder shall be a public limited company established under Thai law. An offer for sale of newly issued warrants and underlying shares shall be in compliance with the following rules: (1
inspection made by the SEC Office. Clause 8 A derivatives broker shall monitor and supervise its employees to comply with this Notification and rules set out by the derivatives broker for compliance with this
and supervise its employees to comply with this Notification and rules set out by the derivatives broker for compliance with this Notification. Clause 9 In cases where it appears to the SEC Office that