, topical consistency and compliance with relevant laws. The SEC Code of Governance imposed on board members, executives and staff covers the following areas: Accountability Responsibility Equitable Treatment
/branch managers or equivalent positions)/Head Back/Compliance/Risk (deputy managers or equivalent positions/assistant managers or equivalent positions/departmental directors or equivalent positions/Head
efficiently manage work and risks of the intermediaries in compliance with the CG Code of listed companies, and to protect the interest of the investors. The consultation paper is available at https
compliance with Section 89/15. During the rehabilitation plan or not, the company secretary must prepare and keep the register of the plan administrator, notices of directors' meetings, minutes of the plan
) the nature of unlawful act is a violation or non-compliance of provision of law, regulation, order or condition, in materiality or a breach of fiduciary duty or a violation or non-compliance of
guidelines for compliance with the Notification of the Office of the Securities and Exchange Commission No. SorThor. 11/2548 Re: Documents and Evidence for Applying for Approval of Regulations of Derivatives
Bangkok, 11 September 2017 - The SEC has suspended the approval of five securities investment consultants for failing to perform duties in compliance with professional standards. The suspended
to make sure that the personal data management is compliance with PDPA by creating Data Governance Policy and Guidelines for personal data protection management throughout the data life cycle
and its auditors to the non-compliance risk regarding the auditor rotation requirement • Concerns and th rea ts to independence due to familiarity may result in the negligence of compliance with
underlying shares hereunder shall be a public limited company established under Thai law. An offer for sale of newly issued warrants and underlying shares shall be in compliance with the following rules: (1