Commission, orders and circulars issued under or prescribing guidelines in compliance with the Notification of the Securities and Exchange Commission No. KorThor./Nor. 8/2545 Re: Determination for Securities

compliance with the Labor Protection Act, effective on 5 May 2019); - a provision for loss on litigation from reversal of judgment by the Supreme Court of 831 million Baht, in compliance with the Thai

following line of work, as the case may be: (a) a line of work relating to trustee services, trustee operation, compliance function of trustee services or other similar lines of work; (b) a line of work

control system for goals and objectives achievement, compliance with applicable laws and regulations, safeguarding of the assets from frauds and damage, and preparing reliable accounts and reports. The

/branch managers or equivalent positions)/Head Back/Compliance/Risk (deputy managers or equivalent positions/assistant managers or equivalent positions/departmental directors or equivalent positions/Head

guidelines for compliance with the Notification of the Office of the Securities and Exchange Commission No. SorThor. 11/2548 Re: Documents and Evidence for Applying for Approval of Regulations of Derivatives

) the nature of unlawful act is a violation or non-compliance of provision of law, regulation, order or condition, in materiality or a breach of fiduciary duty or a violation or non-compliance of

) Discontinuing non-broker operations and ensuring their compliance with specified regulations. It was found that the company engaged in other businesses that could lead to conflicts of interest, and these

 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