established in conformity with relevant laws; appoint a trust manager; prepare a trust property account in segregation from a trustee account; ensure that the units are not allocated to investors who are not
effective actions when customers or employees are found to be at risk of infection or diagnosed with COVID-19. 2. Prepare business continuity planning (BCP) Determine mission critical activities (MCA) to
คุณสมบัติของผู้รับผิดชอบสูงสุดในหน่วยงานกำกับดูแลการปฏิบัติงาน (head of compliance) (ทลธ. 36/2560)
investigation following the complaints from minority shareholders and the Association of Thai Shareholders regarding the NEWS private placement of newly issued shares, it was found that NEWS had issued 6 billon
Following a report from Maybank Kim Eng and SEC’s further investigation, it was found that from the month of May to 5 October 2016, Pusit, who was the company’s executive at the time, had taken
2024 annual compliance reports. In this front, reporting of any non-application or unfinished application of the recommended guidelines shall be accompanied by the explanation of the associated
inspection to evaluate its compliance with its policies and procedures? – Monitoring Process If yes, please specify 1) Who perform such function e.g. in-house, outsource, network firm? 2) How often the firm
to strengthen reliability and linkage among the ASEAN capital markets, promote the ASEAN Brand as a world-class product, enhance compliance with the international disclosure standards as well as expand
services via PromptPay for e-Money transactions are secure, accurate, trustworthy and in compliance with standards. For instance, registration must be prudent, with prerequisites in place including Know-Your
law compliance by securities firms, issuers and service providers. Measure 4: Improving tax system to facilitate development and fairness This measure is intended to improve tax regime to be more