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
Services, Asia Pacific, PwCMary Leung, CFA, Senior Advisor, Research and Advocacy, Asia Pacific, CFA InstituteSuttirat Hongtong, Senior Society Manager, CFA Society ThailandบุคคลในภาพVerity Chegar, ISSB
Consumer Protection and Financial Service Provider Supervision Department, with Mr. Papinvich Waidee, Senior Economist, Bureau of Policy on Financial Benefit Protection System, Fiscal Policy Office (FPO
· Verity Chegar, ISSB Member · Sammie Leung, Partner, Regional ESG Services, Asia Pacific, PwC · Mary Leung, CFA, Senior Advisor, Research and Advocacy, Asia Pacific, CFA
, Ban Kapi District, Bangkok. Mr. Setthapong Leelerdpong, Senior Officer, SEC Department of Capital Market Education, gave a lecture on financial planning for government officials and a workshop on