major gains/losses of clients in the year? 2 The standard documentation highlights all important matters for consideration, including: · integrity and identification checks on client, for example: · The

); (4) establish the selection criteria and a due diligence process by taking into account the confidentiality of critical information, the integrity of data and the information systems and availability

are reliably and trustworthy, the Securities and Exchange Commission hereby issues the principles for undertaking business as follows: (1) honesty, fairness and integrity An intermediary shall conduct

such action with a view to preventing other creditors of the customer from receiving repayment of indebtedness, either in whole or in part, or that the derivatives business operator has failed to comply

benefit of beneficiaries, a trustee has the duty to manage a trust with integrity and prudence as a professional with expertise by providing fair treatment to beneficiaries. In furtherance of the

required to report violations or any significant abnormality to the person responsible for the information security incident management without delay; (3) put in place a disciplinary process to take action

such funds with honesty and integrity by exercising their knowledge, competency and expertise with due care and prudence of the same standard or in the same manner as a professional. Clause 3 In managing

(นางสาวรื่นวดี สุวรรณมงคล) เลขาธิการ ฝ่ายนโยบายธุรกิจตัวกลาง โทรศัพท์ 1207 กด 7 “สำนักงาน ก.ล.ต. ได้รับรางวัลรัฐบาลดิจิทัล ปี 2563 (DG Awards 2020) และรางวัลชมเชยองค์กรโปร่งใส (NACC Integrity Awards) ครั้ง

and is subject to anti-money laundering and terrorist financing regulatory and oversight regime that is comparable to international standards accepted by the Office, e.g. Financial Action Task Force

. ได้รับรางวัลชมเชยองค์กรโปร่งใส (NACC Integrity Awards) ครั้งที่ 9 (ปี 2562)” “สำนักงาน ก.ล.ต. ได้รับรางวัลชมเชยองค์กรโปร่งใส (NACC Integrity Awards) ครั้งที่ 9 (ปี 2562)”