July 2016. {X1} later revised and improved the working system of its securities business and set up more efficient measures for preventing and detecting irregularities thereof.Investors are strongly
SEC therefore ordered the company to review and reinforce its relevant systems. Meanwhile, the SEC will consider further appropriate measures in due course. In this regard, the institutional clients
governance, and anti-corruption. The Master Plan will set standards and propose measures for developing both the businesses and investors, creating mechanisms for driving self discipline and market discipline
efficiency of preventive measures and enforcement mechanisms in response to technology advancement; (3) increasing market width and depth to promote the Thai capital market as a regional financial connector
. Units and unitholders information 8. Management structure 9. REIT supervision 10. Social responsibilities 11. Internal control and risk management 12. Preventive measures against conflicts of interest
notification prescribed by the Office Re: Measures on Prevention of Money Laundering and Terrorist Financing in Securities; (5) The prevention of conflict of interest in the fund management which are proprietary
that the policy on such matter should be in accordance with the notification prescribed by the Office Re: Measures on Prevention of Money Laundering and Terrorist Financing in Securities; (5) The
mechanisms and regulation. The following Code of Conduct Fundam 4 These measures are the fundamentals which should be included in individual CRA codes of conduct, and the elements contained in the IOSCO CRA
impact (identify numerical assessment results, if available), tendency or possibility of such risk. In addition, the Company may further clarify specific preventive measures that have mitigated such risks
intermediary shall have measures for correctness [of fault action], control [of impact] and punishment [for wrongdoing] in proportion to the seriousness of their actions. Clause 9 In case the association