long term for the benefit of beneficiaries or clients. The over-arching obligation of every investment institution is to promote and safeguard the interests of beneficiaries or clients. This is often
market have sufficient mechanism to allow them to safeguard their interest. Such is the fundamental objectives of the SEC and other Thai authorities who have been actively promoting many measures to
1 August 17, 2018 Subject: Capital Increase for Offering for Sale to Specific Investors (Private Placement), Connected Transaction, Amendments to Articles of Association/Objectives of the Company and Determination of the Date of Extraordinary General Meeting of Shareholders No. 1/2018 To: President The Stock Exchange of Thailand Enclosures: 1. Information Memorandum on the Offering of Newly Issued Ordinary Shares to Specific Investors (Private Placement) at the Offering Price with a Discount of...
UNOFFICIAL TRANSLATION Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. Notification of the Office of the Securities and Exchange Commission No. Nor Por. 3/2559 Re: Guidelines for Establishment of Information Technology System ______________________ Whereas the Notification of the Capital Market Supervisory Board No. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, a...
ใช้งานระบบได้ อย่างมั่นคงปลอดภัย (accountable for safeguard) ตามนโยบายการควบคุมการเข้าถึงที่ได้ก าหนดไว้ 15 5.4 การควบคุมการเข้าถึงระบบสารสนเทศและแอพพลิเคชั่น (system and application access control
UNOFFICIAL TRANSLATION Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 30 Notification of the Office of the Securities and Exchange Commission No. Nor Por. 3/2559 Re: Guidelines for Establishment of Information Technology System ______________________ Whereas the Notification of the Capital Market Supervisory Board No. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems...
client. • The safeguard of the access to workpapers is not robust enough, e.g. there is one instance whereby workpapers in soft copy is stored in the server of audit firm and is publicly accessible to
stakeholders. Implementation in each area is as follows: Risk Management To safeguard against adverse impacts of market incidents or risks pertinent to market viability, the SEC Board laid out a policy and
corporate social responsibility. The implementation is categorized accordingly: ë Risk Management To safeguard the Thai capital market against adverse impacts of market incidents or risks pertinent to market