conduct; (6) competent staff readiness An intermediary shall provide the competent personnel with the suitable amount for the business operation, and shall supervise its personnel to perform duties in

maintain substantial and adequate financial resources continuously; (5) market conduct An intermediary shall undertake business in keeping with proper standards of market conduct; (6) competent staff

.  Assigning competent audit staff to each engagement as required by auditing standards and determining performance evaluation criteria to reflect performance quality could help improve the deficiencies;  (3

, conceals, any property or document which the competent officer has seized https://www.sec.or.th/cgthailand/EN/Pages/FAQ/CorruptionFAQ.aspx English (United States) CorruptionFAQ company who fails to perform

perform his duties with responsibility, due care and loyalty.) Section 305  (Person who damages, destroys, conceals, any property or document which the competent officer has seized https://www.sec.or.th

violation The SEC Office issues an administrative order to enforce any regulated person. The SEC Office presents the case to the competent authority. End Administrative Order Issuance Administrative Sanction

equity market growth and to serve the needs of the real economy worldwide. The most important achievement of the meeting was the adoption of a Guide to strengthen corporate governance through effective

on this key step to safeguard the environment and spur sustainable national economic development. • Achievement of this goal is a testament to the strong leadership and commitment of the government and

, SEC Secretary-General said, ?The MOU is another significant accomplishment of the ACMF in developing ASEAN as an asset class. The achievement of a multi-jurisdiction securities offering will pave the

category will be awarded with the Recognition of Achievement Plaque from Her Royal Highest Princess Maha Chakri Sirindhorn. The second and third runners-up will receive the SEC plaque and the AOP plaque