ASEAN Top 20 and ASEAN Asset Class Awards. This has shown listed companies’ strong commitment to good governance and responsible business conduct throughout the value chain that results in sustainable
the area of capital market. Furthermore, FAP will give advice, conduct on-site visit and improve their audit quality in accordance with Thai Standard on Quality Control (TSQC 1), Quality Control for
.? These kinds of incidents took place repeatedly, but the company which was under his direct supervision did not conduct proper examination.?In 2014, the SEC found a similar misconduct and took legal action
to ensure compliance of its business conduct with ethical and professional standards of the industry. ?Securities firms are doing business based upon clients? trust and confidence. Any breach of
Clause 14(2) of the SEC Office Notification No. SorKhor.49/2552 Re: Approval for Investor Contacts and Standards of Conduct dated October 14, 2009 and Clause 20(2) of the Notification of Capital Market
rules were deemed as a violation of Clause 14(2) of the SEC Office Notification No. SorKhor.49/2552 Re: Approval for Investor Contacts and Standards of Conduct dated October 14, 2009 and Clause 20(2) of
loans provided by clients, as well as, failing to discharge the duty properly as a manager in supervising and examining the staff's conduct to ensure the compliance with laws and regulations, in violation
application by using the name and signature of a friend of hers. In case of {B}, the SEC directed KTB Securities to conduct further probe into the case. As Panadda previously claimed, {B} admitted that she
) Elevate standards for the supervision of gatekeepers to prevent inappropriate conduct, and (3) Leverage technology to broaden access to financial information of small-and medium-sized listed firms
conduct) โดยกำหนดให้ผู้ประกอบธุรกิจที่ขายหน่วยลงทุนต้องจัดทำเอกสารประกอบการขายที่ถูกต้องครบถ้วน เปิดเผยค่าธรรมเนียม เงื่อนไข คำเตือน COI และรายละเอียดการได้รับ trailer fee ให้ชัดเจน จัดให้มีมาตรการป้องกัน