implementation and serve stakeholder needs better. Eventually, this would be beneficial to all market participants and the Thai capital market. Additional actions to be taken in the second half of this year aims
compliance with the law. If the SEC finds any actions by JKN directors or persons involved to be inconsistent with the law, appropriate measures will be taken as deemed necessary. The SEC has emphasized to
Commission Notification of the Office of the Securities and Exchange Commission No. SorNor. 12/2545 Re: Determination of Rules and Procedures for Actions by Management Companies against Incorrect Value of
Notification of the Office of the Securities and Exchange Commission No. SorNor. 12/2545 Re: Determination of Rules and Procedures for Actions by Management Companies against Incorrect Value of Investment Units
various actions which help to mitigate potential effects. The Company has proactively implemented stronger preventive measures in all its business locations. Business models were adjusted to offer more
following matters: (1) good governance and clear, transparent organization structure; (2) effective risk management for legal, credit, liquidity, operation, and other risks, with measures to appropriately
consultant to do so. Auracha's actions were deemed as (1) failure to perform duties or provide services honestly, (2) misconduct upon the client's asset, (3) use of the client's trading account to trade
was no evidence that the client had ordered the responsible investment consultant to do so. Auracha?s actions were deemed as (1) failure to perform duties or provide services honestly, (2) misconduct
Technology System dated 12 September 2016 (“Notification No. Sor Thor. 37/2559”) require that intermediaries establish policies, measures and operating systems for governance of technology and information