Business (No. 3) B.E. 2555 9 (b) policy and effective measures for preventing conflict of interests, learning of inside information between units and personnel, internal control and risk management for
management; selection and monitoring of its personnel assuring that they have and maintain such qualifications that correspond to the nature of their duties; measures to prevent improper access to inside
access to inside information among work units and personnel; and internal control measures to audit and counterbalance the operation and to prevent any transactions which may give rise to a conflict of
destination of the region. Vorapol Socatiyanurak, SEC Secretary-General said that ?During October, 2011- April, 2015, the SEC has been striving forward the Thai capital market with the emphasis on development
accomplished multiple goals simultaneously; for instance, intermediaries and the exchanges? fundamentals remained sound and solid and thus strengthened their resilience to volatility. On progress of sustainable
undertaking of business as securities broker, securities underwriting, prevention of using inside information, takeover, issuance and offer for sale of securities; (b) Standards of conduct, ethics and various
Notification of the Office of The (Translation) PAGE (Translation) -4- Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for
Notification of the Office of The (Translation) Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC, Thailand