and relevant to the client's investment decision. From the Stock Exchange of Thailand's securities trading inspection report on Electronics Industry Public Company Limited (EIC), the SEC further probed
AQIs ) 1 % 2564 2563 1 (Leadership Responsibilities for Quality within the Firm) ( ) (1) 2 (Relevant Ethical Requirements) ( ) (3) 3 (Acceptance and Continuance of Client Relationships and Specific
2562 1 (Leadership Responsibilities for Quality within the Firm) ( ) (2) 2 (Relevant Ethical Requirements) ( ) ( ) 3 (Acceptance and Continuance of Client Relationships and Specific Engagements) (1) (3
Responsibilities for Quality within the Firm) ( ) (1) 2 (Relevant Ethical Requirements) ( ) (2) 3 (Acceptance and Continuance of Client Relationships and Specific Engagements) (1) (1) 4 (Human Resources) ( ) ( ) 5
securities companies to prevent the misuse of such securities as a tool to evade compliance with relevant regulations such as the compulsory reporting on acquisition and disposition of securities, or to
managing private assets of any persons or groups of persons (private trust), nor does it aim to evade compliance with any relevant laws. Key products for GIT investment in environmental projects are: (1
conducting this hearing on the draft regulations and relevant attachments concerning capital requirements for securities and derivatives business operators (“business operators”) involved in digital asset
and understanding of business operation. The SEC took such suggestions into consideration in revising the proposed principles to enhance suitability. The SEC, therefore, issued two relevant
The SEC monitors and observes events and exhibitions featuring booth setups related to investment advice and service solicitation. Recently, the SEC has been alerted by the public and relevant