securities companies to prevent the misuse of such securities as a tool to evade compliance with relevant regulations such as the compulsory reporting on acquisition and disposition of securities, or to

securities companies to prevent the misuse of such securities as a tool to evade compliance with relevant regulations such as the compulsory reporting on acquisition and disposition of securities, or to

The SEC reviewed the principles for overseeing bills issued as securities to ensure compliance with the intent of the Securities and Exchange Act B.E. 2535 (1992) and consistency with the current

ต่อผู้บริหารระดับสูงพิจารณาว่าการโฆษณาเป็นไปตามหลักเกณฑ์ด้านโฆษณารวมทั้งหลักเกณฑ์อื่นที่เกี่ยวข้องก่อนจะเผยแพร่โฆษณา และให้หน่วยงาน compliance ติดตามและตรวจสอบภายหลังการเผยแพร่โฆษณา รวมทั้งจัดทำรายงาน

ดังนั้น กรณีดังกล่าวจึงไม่ใช่เรื่อง outsource 2. การให้สิทธิ Group Compliance สามารถเข้าถึงล่วงรู้ข้อมูลรายชื่อหลักทรัพย์ WL / RL ซึ่งถือเป็นข้อมูลภายใน การเปิดเผยจะกระทำได้แต่เฉพาะกับผู้

, selection of service providers, and compliance with local rules and regulations. The SEC has therefore instructed CHUO to cooperate with the auditor in providing information and documents and submit the

integrity. The SEC also oversees regulatory compliance and enforces the governing laws to ensure that the capital market will be developed toward sustainable growth and generate positive impacts on the

after the end of annually period, whichever is the sooner. Annual Compliance Report (SEC Circular SEC. Gor. 15/2538) To be filed within 60 days of the following year. Other Reports​ Report on Gross

citizenship; and  (4) corporate resilience Principle 1.3 The board should ensure that all directors and executives perform their responsibilities in compliance with their fiduciary duties, and that the company

information, fairness and compliance ? there must be no grounds of suspicion regarding the issuer's intention to avoid regulatory compliance or exploit investors ? and integrity of directors and executives who