and listed companies to comply with IOSCO standards and enhance the reliability of the Thai capital market and the confidence of domestic and overseas investors, the SEC has taken into account the
order, the two offenders have become persons possessing untrustworthy characteristics and subsequently banned from the position of director or executive at any securities issuing company or listed company
December 2020. In the following year, the SEC revised the disclosure rules by requiring listed companies to disclose information on their environmental, social and governance actions, including climate
material ESG factors into equity analysis of listed companies and incorporate them into their research reports. The intermediaries have an important role in sustainability-related information chain as they
securities companies. In this regard, since the offenses relating to unfair securities trading practices are also listed as a predicate offense under the Anti-Money Laundering Act B.E. 2542 (1999), the SEC has
characteristics of directors and executives of securities issuers and listed companies while he is subject to the complaint and subsequent legal action.In any case, filing a criminal complaint commences the
action* can be another legal option for protecting investors? interest.Guest lectured by Appeal Court Judge Pongdej Wanichkittikul to stakeholders from listed companies, the Thai Investors Association and
banned Ravi from holding the position of director or executive at any issuing or listed companies for one year.* ________________________________ *In compliance with the Notification of the Securities
the board of directors of listed companies is obligated to perform duties with care, responsibility and honesty in accordance with Section 89/7 of the Securities and Exchange Act, the SEC, by virtue of
resulted from trading orders for investment units listed on SET, in nature, is indifferent from that of the securities company that submits share trading orders. However, the said requirement will not apply