publication. The guidelines are intended to align banking supervision with Basel standards and strengthen stability of the financial system. Major points include that commercial banks which are of large size
the region and the important role played by China, India, and Indonesia in the G-20, the Financial Stability Board and the OECD Corporate Governance Committee give corporate governance developments in
and enhance audit quality to meet international standards and promote the potential for small and medium-sized audit firms to grow with stability, sustainability, and competitive edge. In doing so, the
globally. This will enable the Thai capital market to serve as an important pillar to provide stability and sustainability for the Thai economy. To achieve these objectives, the SEC has established the
misconduct was deemed as failure (1) to perform duties or provide services honestly and (2) to execute trading transactions according to the order of the account owner or the authorized person. Moreover, he
account owner. Meanwhile, Patcharee took trading orders from an unthorized person. Nattapon?s misconduct was deemed as failure (1) to perform duties or provide services honestly and (2) to execute trading
total units sold, a trustee shall not conduct or allow to execute the transaction arising conflict of interest with REIT. Clause 4 This Notification shall come into force as from 1 September 2014
without any objection. Meanwhile, in the latter period, he sought approval from the clients on the broad pre-determined price ranges of derivatives and securities. Accordingly, he could immediately execute
Phillip Securities (THAILAND) and the SEC?s further investigation, it was revealed that Pornthip had used blank trading orders authorized in advance with the signatures of five clients to execute unit sale
2016.In any case, investors should not disclose their usernames and passwords for investment consultants to execute trading orders on their behalf. Similarly, investment consultants must not seek