enable the Agency to bring more legal actions, either criminal or civil, against offenders. Whereas the informants or witnesses, who provide information or evidence to SEC official, will receive
clarity and more confidence that securities firms will adhere to international standard guidelines and effectively prevent inappropriate actions. ________________________
• Training and Awareness • Localized to Thailand • Community & Business Supported • Best-practices • Practical Actions SEC Classification : ใชภ้ายใน (Internal) Slide 1: Empowering Diversity: Introducing the
the days of the significant errors in the valuation (at least one satang and worth at least 0.5% of the correct value or price); (2) Take any actions to ensure that the investors are informed the
specified in the Licensing Manual for the Public and that the submission of the cancellation of SEC Account is part of the actions according to the SEC Office’s Standard Procedures. The SEC Office is obliged
be liable to the penalty under Sections 312 and 315 of the Securities and Exchange Act B.E. 2535 (1992) (SEA), as the case may be. The said actions also caused damage to the company but brought about
10 decimal digits according to international standards. (2.3) Increase or reduce the number of investment units or take any actions as specified in the scheme to maintain the investment unit at a
briefly. B19 Are there any actions taken by the firm's leaders (partners) to promote quality in SOQM? Please provide any relevant pieces of evidence of these actions. (e.g., communication within the firm