adviser (e.g., financial adviser and legal adviser) and makes a decision based on the given advice, will the board be considered to have performed duties with care? If the decision has been made based on
: (1) being a counter party to licensee to operate securities business in the category of securities borrowing and lending or securities depositary center, if such arrangement is made for such counter
selling orders were made with equal or under the purchase prices without concern for loss to the client. Moreover, trading volumes soared during the marketing campaign of Country Group Securities.In
made securities trading decisions on the clients? behalf. The recorded conversation indicated that Ashiya and Onjira specified securities, amount and price for their clients and the clients accepted
company?s rules. From an inspection report of Krungsri Securities, the SEC further probed into the case and found that {A}, {B} and {C} made securities trading decisions on the clients? behalf. The recorded
, using the key measures of preventing, deterring, and suppressing wrongful acts. So far, the Project has made significant progresses.On 1 February 2024, the SEC Board Meeting No. 2/2567 gave its approval
clarification has been given or correction has been made, and if the approved entity or its directors or executives fails to give clarification or make correction within the specified period, the SEC Office may
are made directly to financial data through means other than application transactions. Systems are not adequately configured or updated to restrict system access to properly authorized and appropriate
หลักการ กำกับดูแลกิจการที่ดี สำหรับบรษัทจดทะเบียน ป 2560 Corporate Governance Code for listed companies 2017 ปกหนาสัน สารบัญ หน้า บทนา 1. วัตถุประสงค์ของหลักการกากับดูแลกิจการที่ดีฉบับนี้ (Corporate Governance Code: CG Code) 3 2. การกากับดูแลกิจการที่ดี คืออะไร 4 3. CG Code นี้ มีสาระสาคัญอย่างไร 5 3.1 หลักปฏิบัติ 8 ข้อหลัก 5 3.2 การปฏิบัติตาม CG Code 6 3.3 การอธิบาย เมื่อไม่ได้นาหลักปฏิบัติไปใช้ 7 4. CG Code นี้ ต่างจากหลักการกากับดูแลกิจการที่ดี สาหรับบริษัทจดทะเบียน ปี 2555 อย่างไร 7 5. การ...
a request is made under this MoU. (r) “Requesting Authority” means the Authority making a request under this MoU. (s) “Securities and Exchange Act” means the Securities and Exchange Act B.E. 2535. (t