Auditing Mechanism and Balances SEC Code of Ethics SEC Anti-Corruption Policy The SEC values Code of Governance As an agency with missions for promoting, developing and supervising the capital market
audit, disclosure and transparency. All this supports the role of the market in supervising the operation of commercial banks (market discipline). More information and guidelines are available in The CG
describe C3 Does the person who is responsible for supervising the investigation · Has sufficient and appropriate experience · Has authority within the firm; and Is otherwise not involved in the
investment advice, was negligent in supervising work control and compliance at the branch, which consequently led to inappropriate investment as far as the client's demand and risk profile were concerned. The
caused by {B}, the bank’s branch manager at the time, whose negligence in inspecting and supervising duty performance of {A}, her subordinate, in a reasonable and proper manner, led to opportunities for
Thai listed company recipients. The conference was held at The Athenee Hotel Bangkok. Finance Minister Arkhom Termpittayapaisith said: “As a regulatory agency, SEC plays an important role in supervising
branch manager at the time, whose negligence in supervising that her subordinate strictly comply with the bank’s regulations led to opportunities for committing the misconduct. Prapai’s act was deemed a
Annual Report 2007 Securities and Exchange Commission, Thailand ANNUAL REPORT 2007 Corporate social responsibility is the continuing commitment by business to behave ethically and contribute to economic development while improving the quality of life of the workforce and their families as well as of the local community and society at large. (WBCSD Stakeholder Dialogue on CSR, The Netherlands, Sept 6-8, 1998) C o n t e n t s Corporate Review Capital Market Review Action Plan and Events Achievemen...
) contains a salient point on amendment to the Bank of Thailand’s limited authority under Financial Institution Business Act B.E. 2551 (2008) to ensure enhanced efficiency in supervising specialized financial
further improvements in the legal framework in relation to (1) business merger and acquisition in which complicated and time consuming process is currently involved, (2) civil sanctions to become an