of Intermediary to Handle Clients’ Complaints and participation in the SEC Office’s project to resolve disputes by arbitration. 4.3 Having a business plan and an operating system for establishing a
spread of COVID-19, the government of many countries enacted lockdown measure, leading to the announcement of the temporarily capacity reduction of plant for a long while by customers. As a result, fatty
measure is considered by a sub-committee whose most members are representatives from the private sector. These steps ensure that the measure to be taken is appropriate, practical and respectful to
is deemed that Prapai has already served SEC’s sanction in full. In considering a punitive measure, SEC takes into consideration the following factors: related roles and behaviors of the person(s
ริษทัจดทะเบียนไทย รุ่นที่ 2” Workshop on SDG-Smart Impact Measurement and Management Class 2 ณ ห้อง Astor 2- 3 ชั้น 14 โรงแรมเดอะ เซนต์รีจิส กรุงเทพฯ Aligning with Global Standards to Measure, Manage and
20T H ANNIVERSARY 1 Securities and Exchange Commission, Thailand Annual Report 2012 SEC ANNUAL REPORT 20122 THE YEAR OF CHANGE The year 2012 was the time for change to become the visionary partner whose balance between proactive and preventive approaches has led to stakeholders’ confidence in the Thai capital market. THE YEAR OF CHANGE 20T H ANNIVERSARY 1 02 MESSAGE FROM THE CHAiRMAN 04 MESSAGE FROM THE SECRETARY-GENERAl 06 SEC BOARd 09 CApiTAl MARkET SupERviSORY BOARd 12 ExECuTivE OFFiCERS 13 O...
) allocate sufficient resources and budget to persons who relate to any operation in compliance with such policy and plan; (2) provide a measure to control and monitor operation under such policy and plan
that the securities company is able to demonstrate establishment of the organizational structure which does not cause conflicts of interest or provision of an effective measure to prevent such conflicts