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
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
-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
jointly host a seminar on “Preventing, Deterring and Suppressing improper behaviors of listed companies” SEC amends regulations on reporting changes to the securities and derivatives holding by directors
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
asset management firms, and revises regulations governing advertisement of financial products to prevent improper distraction or solicitation that may cause investors to misunderstand the true objective