reimbursement of investigative expenses Cases Persons Fail to exercise duty of care - - - - - - - Presenting a false statement or concealing material facts that should have been stated - - - - - - - Disclosure of
Statistics of Criminal Actions (As of 31 December 2023) Cases Persons Cases Persons Cases Persons Cases Persons Fraud 0 0 3 17 0 0 3 14 Fail to exercise duty of care 0 0 - - 0 0 - - Disclosure of
exercise due care in designating engagement with complexity or requires specific technical knowledge to the appropriate partners and divisions. - Some firms have rendered policies to not accepting new
firms did not concern over significant client’s issues before accept those clients. Example 1 : There was insufficient documentation regarding client acceptance evaluation. In addition, some evaluation
Authority. With a concern for its staff's work-life balance, the SEC provided conducive working environment, physical and mental healthiness programs, as well as staff relations activities on special
confidentiality and data protection. The SEC has put in place internal procedures to ensure that its exercise of powers and duties are consistently applied. Operational Risk Management The SEC has developed its
likely to avoid over-regulation, support the exercise of entrepreneurship and limit the risks of damaging conflicts of interest in both the private sector and in public institutions. A. The corporate
Annual Report 2010 ANN UAL REPORT 2010 SECURITIES AND EXCHANGE COMMISSION, THAILAND ASEAN ECONOMIC COM MUN ITY Vision S = Setting High Standard E = Ethical C = Committed Pro = Professional Mission Core value: SEC-Pro The SEC develops and supervises the Thai capital market to ensure efficiency, fairness, transparency and integrity. The SEC is to establish the Thai capital market as an important alternative for investors and fund raisers with an efficient mechanism for investor empowerment and, in...
1 NO. NCH 024/2562 July 11, 2019 Subject : Notice of setting up a new subsidiary under joint venture agreement to cover intermediate care and wellness business Attn. : Director and Manager The Stock
to 25 Branches. Franchise period of each branch when HHC commenced the operation is 12 years (Agreement period 8 years and Automatic renewal 4 years as from the date HHC exercise Franchise by