other past behaviors demonstrating inappropriateness for acting as capital market business personnel. Investors are strongly advised to always verify transaction confirmation documents to make sure
transactions she executed herself without the client’s permission. In addition, in May and November 2017 and August 2018, {A} asked the client to affix signature on the confirmation of backdated trading
? account to authorize securities transfers to the accounts of her related persons. In so doing, she filled in her own telephone number on the securities transfer form as the transaction confirmation number
transactions, and review the total balance in the confirmation document sent from the responsible asset management company. In any case, investors should not leave their fund passbooks and savings passbooks with
the client. They admitted that {A} contacted the client and made trading order confirmation via phone by herself. {B} and {C} neither met or contacted the client nor received or confirmed any trading
The Risk Management Committee, Krungthai Asset Management PCL Board Director, Siam Commercial New York Life Insurance PCL Tranings Role of the Chairman Program (RCP16/2007) Thai Institute of https
Management Committee, Krungthai Asset Management PCL Board Director, Siam Commercial New York Life Insurance PCL Tranings Role of the Chairman Program (RCP16/2007) Thai Institute of https://www.sec.or.th
February 2024, the SEC officially became one of the TNFD forum members*, demonstrating its leadership role and signaling to listed companies and stakeholders the importance of prioritizing the risks to
, said: “Thailand’s capital market has been advancing on the ESG front with the promotion of ESG disclosure and reporting. Investment analysts are playing the next vital role by integrating ESG-related
, Secretary-General of the SEC, said: “ AMCs, as institutional investors, play a crucial role in responsible investing by incorporating ESG factors and related risks, especially climate-related risks, into