executives of listed companies are required to perform fiduciary duties by considering the matter responsibly, cautiously and honestly for the best interest of the companies. In case of digital asset
as updates on trends and the impact of changes in the industry. Also featured was a case study on integrating ESG criteria into investment analysis and investment decision making, which investment
higher risk level in buying financial products with a higher risk than the client’s risk profile. SEC has considered the case and viewed that Somchai had behaviors with dishonest implication, affecting the
perform an investigation before recommending case to the public attorney who has authority for prosecution. The power to adjudicate whether any person is guilty or not is, however, vested on the court of
those applied to person who works in securities business; (3) added clarity on the protection that investors will receive in case of the bankruptcy of the securities depository center as well
government places as well as at the office of Lawyers Council under Royal Patronage and (2) providing legal aids in civil case, criminal cases, human rights protection, administrative order, environmental
of this amendment is to ensure that customer complaints are handled appropriately, especially in the case where the operator failed to comply with relevant regulations. It also aims to ensure that
trading transactions regularly. In case of doubtful authenthicity, investors should seek clarificatioin from the back office of such securities firm. It should be reminded also that money for trading
suspension on {A}, effective from 1 November 2017. In the case of {B}, she committed similar acts by signing on the subscription order of a client without contacting or giving advice to the client. Instead