comparability of the ESG information, and the ways to integrate various ESG factors into the investment selection process. We encourage all investment professionals to consider material ESG factors as an

incorrectly, and failing to disclose material information to support an investor's decision making.Following a client complaint, the SEC made further investigation and found that in May 2016 {A}, then working

reports on financial conditions. In addition, their executives must possess the prescribed qualifications.Besides public sector organizations must file registration statement with additional material

net profit by 59.24 percent which was certainly material to investors' investment decision and may cause damage to investors;2. In addition, before filing the clarification on the above mentioned

) to (4) had purchased MAKRO shares based on non-public information material to the price of MAKRO shares.  The findings revealed records of purchase transactions in the trading accounts of the four

failed to inform a client of material information that was likely to affect investor's interests.Following the SCB report, the SEC probed into the case and found that a client wanted to sell investment

the price of main raw material which increased in accordance to the global market price. As a result, Thailand has the volume of exports of palm oil more than the same period of the last year. Although

exchange. The two parties also discussed the enhancement of fundraising supervision and the roles of financial advisors to ensure that the aforesaid companies will be able to grow sustainably while complying

ในการจัดพอร์ตการลงทุนแบบออนไลน์โดยใช้โปรแกรมคอมพิวเตอร์ (robo-advisors) นางทิพยสุดา ถาวรามร รองเลขาธิการ ก.ล.ต. กล่าวว่า ในปัจจุบัน ก.ล.ต. ทั่วโลกต่างปรับตัวรองรับความก้าวหน้าทางเทคโนโลยี โดยนำนวัตกรรม

: Clause 1 This Notification shall come into force as from 1 January 2015, except the following clauses: (1) Clause 12(4), which relates to arrangement of agreement between clients and derivatives advisors