are likely to have improper behavior and have adverse impact on clients and mutual funds. The personnel to be included are, for example, the person with supervisory functions and the assistants of the

current situations by expanding the scope of protection and effectiveness as well as closing legal loopholes that could bring people damages or improper services. The regulations are proposed to be

transactions showing the issuer's relation with other persons who may have a conflict of interest, measures to prevent such conflicts and oversight of improper transfer of benefits, and (4) the management's

Bangkok, 6 October 2016 ? The SEC has banned eight directors and executives of Nation Multimedia Group Public Company Limited (NMG) for having improper characteristics as specified in the SEC

trading LIVE shares and converting share warrants of the persons under (8) and (9).   Case 2: Seeking improper benefits from the rental and buy-back of advertising billboards The persons under (1) - (3

, could pose risk to the client. She also disregarded her client?s instruction and continued her improper actions. The SEC, therefore, suspends Kruawan from the status of approved investor contact for one

-your-client and due diligence, custody of clients? assets and transaction verification to ensure that client services are efficient and to prevent exploitation of securities firms for improper gains

issuance of improper auditor’s reports, as well as countermeasures for mitigating such risks. 4.1 Inspection results on the quality control system by the Audit Firm (internal monitoring) (1) Name of

, the Code of Ethics for Professional Accountants, and the issuance of improper auditor’s reports, as well as countermeasures for mitigating such risks. 4.1 Inspection results on the quality control

also arise from improper auctioning of collaterals. Additionally, providing loans for securities trading in a manner that may constitute lending to a single group of individuals without restrictions on