trustees approved to undertake trust business. SECTION 56 Where it is necessary to maintain integrity or trustworthiness of the system of trust business, the SEC shall have the power to specify conditions
for correctness [of fault action], control [of impact] and punishment [for wrongdoing] in proportion to the seriousness of their actions. Clause 9 In case the association determines the guideline
this Notification, the intermediary shall have measures for correctness [of fault action], control [of impact] and punishment [for wrongdoing] in proportion to the seriousness of their actions. Clause 9
this Notification, the intermediary shall have measures for correctness [of fault action], control [of impact] and punishment [for wrongdoing] in proportion to the seriousness of their actions. Clause 9
appropriate taking into account the seriousness of the breach. Chapter 2 Availability of competent personnel Objective The management company shall demonstrate that it has adequate amount of personnel for the
there is a breach of the guideline. The course of action should be appropriate taking into account the seriousness of the breach. Chapter 2 Availability of competent personnel Objective The management
under Paragraph 1, the SEC Office shall take the following factors into its consideration: (1) the seriousness of the facts or circumstances that have changed; and (2) the effect upon the investors who
Capital Market Supervisory Board. In making consideration, the SEC Office shall take into account the degree of seriousness of such prohibited characteristics; (4) being a government official or an official
Capital Market Supervisory Board. In making consideration, the SEC Office shall take into account the degree of seriousness of such prohibited characteristics; (4) being a government official or an official
mechanism for supervising relevant service providers has also been established to create trustworthiness and increased security. 4 Rules and Regulations Key Points 5. Securities and Exchange Act (No. 6) B.E