, regular review of documents received from the intermediaries could help to spot any possible irregularities early. In case of any suspicious incident, investors should contact the compliance unit so that

.? [The average scores range from 5 (the lowest) to 1 (the highest)]. Major issues found among the inspected audit firms included non-compliance with auditing standards and inefficient work monitoring

/Nor/Khor. 37/2553 Re: Prohibited Characteristics of Capital Market Business Personnel dated 15 September 2010, which is non-compliance with Clause 23(5) and a prohibited characteristic of capital market

promotes self-awareness of all sectors regarding the benefits of good corporate governance and thus voluntary compliance with CG principles as opposed to merely abiding by the rules. This includes improving

ให้ติดต่อหน่วยงานกำกับดูแลการปฏิบัติงาน (Compliance) ของบริษัทหลักทรัพย์เพื่อตรวจสอบรายละเอียดให้ชัดเจนก่อน_____________________________หมายเหตุ*เป็นการไม่ปฏิบัติตามข้อ 23(1) และเป็นลักษณะต้องห้ามของ

transactions or investment consultants’ employee right to receive shares, investors should check with the compliance unit of the securities company directly to ensure clear details and verification

objectives of securities regulation in compliance with international standards. In addition, the SEC may disclose confidential information acquired by powers and duties performed under the Securities and

or public offering must be in compliance with the SEC regulations. In case of a social enterprise, a waiver of approval application and filing with SEC can only be granted if the offeror is a social

offering must be in compliance with the SEC regulations. In case of a social enterprise, a waiver of approval application and filing with SEC can only be granted if the offeror is a social enterprise

case of concerns of doubtful events, investors should contact the compliance unit promptly. In any case, investment consultants must accept trading orders from the account owners or the persons who