authorization from his client and made SBL trading decisions for the client when there was profit or risk with the client's account. He then informed his client via telephone with regard to the profit and loss on

and ethic as well as deny any clients? authorization to trade securities or derivatives on their behalves."

member jurisdiction to offer CIS constituted and authorised in that jurisdiction ("ASEAN CIS") to retail investors in other member jurisdictions under a streamlined authorization process. The signatories

paper form. In many cases this will result in their https://www.sec.or.th/cgthailand/TH/Documents/Assessment/ICGN%20Institutional%20Investor%20Responsib...

beneficiaries. Such challenges cannot https://www.sec.or.th/cgthailand/TH/Documents/Assessment/ICGN%20Institutional%20Investor%20Responsib...

adverse incidents;            (2) To align the submission timeline for risk level assessment (RLA) reports and IT audit reports to the same period, specifically within the first quarter of each calendar

SEC has prepared a questionnaire surveying preparedness toward the Personal Data Protection Act, B.E. 2562 in April 2020 for self-assessment of 276 organizations under its supervision. Based on the

situation will not affect the assessment conducted on listed companies, asset management companies or REIT managers regarding this subject

& Transparency Assessment (ITA), which is conducted on governmental agencies.” Said Secretary-General Ruenvadee.  ______________________     

. In addition, the SEC reiterates that listed companies should take action and consider various factors relevant to digital asset investment. For example, risk assessment and potential impacts, measures