: "The SEC expects executives of securities companies to strictly supervise compliance with good corporate governance principles. A reliable KYC/CDD system can reduce the possibility of inappropriate

-disclosure of material facts that could influence investment decisions, failure of directors or executives of listed companies to perform fiduciary duties and using or allowing other persons to use a nominee

executives play a pivotal role in feeding information to analysts. Additionally, using the service provided by independent investment research company can be an alternative. ASCO also presented plan to enhance

of Section 16 of the Derivatives Act B.E. 2546 (2003). In this regard, the SEC filed a criminal complaint with the ECD Police against {X1} Co., Ltd. and its executives, namely {A}, as company director

carefully study the information, exercise their rights to protect their own benefits, and seek clarification or explanation from the company directors and executives so as to have sufficient information for

warn the client and notify the supervisor of the suspicion. Moreover, the SEC urges securities firm's executives to monitor investment consultants under their supervision to perform duties in compliance

On 6 July 2023, the SEC filed a criminal complaint against 10 offenders, comprising STARK and its former directors and executives, with DSI for colluding to falsify or consenting to the falsification

Form 246; requiring compliance with tender offer requirements when shareholding thresholds are reached; and establishing fiduciary duties of directors and executives to prevent self‑dealing and

participate equally.”Joining the panel session were directors and senior executives of listed companies, UN Women and the SEC, as follows: 1. Ms. Jainnisa Khuvinichkul Chakrabandhu Na Ayudhya, Independent

resource allocation by their board of directors and executives that is practical and meets the standards established by an international organization concerning capital market supervision is crucial and