transactions with persons who may have a conflict of interest, disclose in the form of related party transactions to be executed. In this regard, the guideline for disclosing the objectives of fund spending
sources of fund for further fundraising. 2. In case of transactions with persons who may have a conflict of interest, disclose in the form of related party transactions to be executed. In this regard, the
Bangkok, February 23, 2015 ? The SEC is seeking public comment on proposed revision of rules governing operational control and information technology (IT) security of the securities companies and
operational strategies, aiming to reduce obstacles and enhance business operations to strengthen confidence in the Thai capital market. The meeting was held at the SEC Building on 21 December 2023.Mrs
intermediary shall comply with those standards as well. In case the association specifies the guideline, having obtained an approval from the SEC Office, regarding operational standards of intermediary ’s
other party. 2.5 A CRA should operationally, legally, and, if practicable, physically separate its credit rating business and its analysts from any other businesses of the CRA that may present a conflict
shareholders attending the meeting and entitled to vote, excluding shareholders with conflict of interest. Further, the Company shall appoint an independent financial consultant to render an opinion regarding
follows: Protection of shareholders' right and fair treatment of shareholders Transparent and fair shareholding structure; Directors, executives and major shareholders do not have conflict of interests or
considered that the transactions entailed the best interest for clients and failed to provide measures for preventing conflict of interests. SEC Act S.283 paragraph 1 Settlement Committee Meeting No. 2
Requirements | - |- Online Submission | - |- Standard Practices | - |- Risk Control | - |- Compliance / Internal control | - |- Conflict of interest | - |- Complaint Handling | - |- Information Technology