market 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

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

securities and exchange. “competent officer” means a person appointed by the Minister to act in accordance with this Emergency Decree. “Minister” means the Minister in charge of the execution of this Emergency

. “competent officer” means a person appointed by the Minister to act in accordance with this Emergency Decree. “Minister” means the Minister in charge of the execution of this Emergency Decree. Section 4. The

governing securities and exchange. “Office of the SEC” means the Office of the Securities and Exchange Commission under the law governing securities and exchange. “competent officer” means a person appointed