personal benefits from the margins of the offer prices. According to the findings of the SEC investigative team, 10 of the 11 investment consultants solicited several clients to invest in IPO shares to
Bangkok, 20 October 2016 - The SEC has suspended the approval as capital market investment consultant of {A} for 18 months for seeking benefits and making investment decisions for clients. She
seeking unfair benefits from investor by taking advantage of her duty performance. In addition, during May 2018, {A} failed to execute the client’s order to buy shares of a company and did not inform the
Rules, Conditions and Procedures for Investing in and Seeking of Benefits for Long Term Equity Fund
handbooks and guidelines Related rules and regulations Related forms Regulatory Summary Duties Scope of works Approval for Financial Advisors and Supervisors Independence of Financial Advisors
, social, sustainability and sustainability-linked bond framework, or appropriate procedures such as information barriers will have been implemented within the institution to ensure the independence of the
Re: Allocation of Cash Flow under Securitization Program and Reporting on Transfer of the Remaining Assets and Benefits of Special Purpose Vehicles
, goals and strategies, supervision and monitoring of the SEC's operation, and board-level evaluation The SEC Office Code of Governance specifies the following requirements: Legal compliance Independence
Governance Network (2014) 7 Section A: Board 1.0 Responsibilities 8 2.0 Leadership and independence 9 3.0 Composition and appointment 11 4.0 Corporate culture 12 5.0 Risk oversight 13 6.0 Remuneration 14 7.0