timely basis of all significant facts and matters regarding the firm’s objectivity and independence, related to the provision of non-audit services, including the safeguards put in place; and · the
OFFICE OF THE SECURITIES AND EXCHANGE COMMISSION, FOR THE CONVENIENCE OF THOSE NOT FAMILIAR WITH THE WRITTEN THAI LANGUAGE. EVERY EFFORT HAS BEEN MADE TO CONVEY THE MEANING AND EFFECT OF EACH PROVISION OF
and executives (Section 317/1(2)(3)) - Whistle blower (Section 89/2, 89/25) Prevention of Unfair Securities Trading Practices (Section 238 - 244/7) - Penal provision for unfair securities trading
26.9 percent, mainly from personnel expenses. This was to prepare for an increase in provision due to compensation in lieu of notice in the case of retirement and dismissal of employees according to a
TRANSLATED VERSION As of August 27, 2014 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 37 Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries _____________________________ By virtue of Section 16/6 and Section 113 of the Sec...
respective regulations, the SEC Office may not proceed in accordance with Clause 24 on such persons if the SEC Office deems that such persons have already been punished appropriately. The provision under the
proceed in accordance with Clause 24 on such persons if the SEC Office deems that such persons have already been punished appropriately. The provision under Paragraph 1 shall not be applicable to the case
whether a CRA has satisfactorily implemented the IOSCO CRA Code, CRAs should disclose how each provision of the IOSCO CRA Code is of conduct deviate from the IOSCO CRA Code and how such deviations
and provision of news, advertisement via television media, and new media in accordance with strategies of the Company to use news related media of the group companies and publish through new media
selling and administrative expenses by THB 170 million or 28% due to provision of employee's severance pay corresponding to revision of the Labour Protection Act of GLOW and unwinding costs of FX forward