sufficient personnel to be able to operate the investment advisory service business efficiently. This case is in the process of inquiry by the inquiry official. SEC Act S.115 Criminal Complaint Filed with
less experienced partners or auditors, which would decrease the risk of not being able to identify the discrepancies or the material misstatement in financial statements. - The firm’s leaders prioritize
appointments are staggered and made independent from the political calendar, they can further enhance independence. These bodies should be able to pursue their functions without conflicts of G20/OECD PRINCIPLES
Market Supervisory Board by managing an advertisement of foreign mutual fund in the inappropriate manner of content, proportion of content and form of presentation in order that a client would be able to
Continuity system in order to be able to provide services to a client and offer for sale of investment units. SEC Act S.113 Settlement Committee Meeting No. 5/2021 Settlement Committee Order No. 40/2021
involved agreed with the principles proposed by the SEC and added the principle of flexibility, in order that the business operators will be able to put this into practice effectively. The public hearing
market, including guidelines for enhancing the development of the Thai securities industry where all sectors are able to gain benefits fairly and efficiently. The joint meeting was held at the SEC
business continuously in order that [i] the intermediary would be able to provide services for the best interests of a client , and [ii] the intermediary ’s personnel would be able to complete their
appropriate, reliable and efficient operating system to support an intermediary’s business continuously in order that [i] the intermediary would be able to provide services for the best interests of a client