Audit Firm Name: Subject : Leadership Responsibility Prepared by Date LEADERSHIP RESPONSABILITIES FOR QUALITY WITHIN THE FIRM Particulars Reference / Guidance Notes Description 1 Who is the ultimate

contributors and the editor of this publication accept no responsibility for loss occasioned by any person acting or refraining from action as a result of any views expressed in these pages. No one should act

Responsibility Complaint Handling Procedure Samples of Documents or Evidence Matters under Supervision of Other Laws Whistleblower Inquiries​ / Suggestions SHARE : For More Information ContactUs SEC Complaint

Bangkok, July 24, 2014 ? The SEC launched a new version ?CG Thailand? website www.cgthailand.org , an information center on corporate governance, corporate social responsibility and anti-corruption

>   Complaints​ / Whistleblowers >   Matters under the SEC Responsibility Contact us SHARE : Detail Content ​SEC Complaint Center Matters under the SEC Responsibility ​ ​ SEC Complaint Center can assist you with

circumstances or hinder businesses or livelihoods, thus imposing unnecessary burdens on the public. 

conducting its business at a high standard of Good Corporate Governance practices, particularly regarding the rights and equitable treatment of its shareholders. It is our responsibility to enhance the

responsibility only for the functions undertaken by business operators themselves. This would allow SEC to supervise each business operator directly. The consultation paper is available at https://www.sec.or.th/TH

strategies for the development and promotion of duties and self-discipline within securities companies – a critical responsibility for everyone, including the board and management, customer service, risk

holding securities for investment by the securities company itself; (3) Bearing a responsibility for the clearing and settlement for securities. (As amended by Section 5 of the Securities and Exchange Act