Providing Services of Derivatives Agent ______________________ Clause 13 For the purpose of preventing and ceasing unfair acts or improper investments or transactions, an intermediary shall include the
Providing Services of Derivatives Agent ______________________ Clause 13 For the purpose of preventing and ceasing unfair acts or improper investments or transactions, an intermediary shall include the
the deficiencies found at both levels are a result of a few factors, such as shortage of human resource within the profession, improper job assignment, an audit planning that failed to respond to
transactions showing the issuer's relation with other persons who may have a conflict of interest, measures to prevent such conflicts and oversight of improper transfer of benefits, and (4) the management's
current situations by expanding the scope of protection and effectiveness as well as closing legal loopholes that could bring people damages or improper services. The regulations are proposed to be
Bangkok, 6 October 2016 ? The SEC has banned eight directors and executives of Nation Multimedia Group Public Company Limited (NMG) for having improper characteristics as specified in the SEC
example, the issuer have never been rejected any PO submissions due to suspicion in severe inappropriate behavior in the past five years.The revised rules aim to prevent non-listed companies with severe
and prevent misuse of legal loopholes to offer services of unregulated businesses, which may cause damage to, or inappropriate services for, the public.The SEC will conduct a public hearing on the
standard qualifications of salespersons. On the sales process side, the aim will be to prevent mis-selling or inappropriate selling of financial products to investors at the pre-sales, point of sales, as
will be imposed if inappropriate behaviors of issuing companies such as concealment of information or cooking the books have been found. The issuers covered under the proposed revision are non-listed