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The Securities and Exchange Commission (SEC) welcomed a group of central and regional administrative case officers, senior professionals, under the Professional Level Administrative Case Officials

®), Associate Financial Planner Thailand (AFPT™), and professionals from the financial service, insurance, and wealth management. The seminar was held in Bangkok on 22 November 2023.

Handbook in Thai version. The handbook will not only assist investment professionals in having a guidance for disclosing ESG information for investment products that are in line with the SEC regulations

and Presentation in Analyst Research Reports” for capital market professionals i.e., securities analysts and fund managers. CFA Institute contributes the Guidelines to incorporate ESG factors into their

Board by failing to perform its duties with due care and preserve the interest of the debenture holders as would reasonably be expected of similar professionals. SEC Act S.46 Settlement Committee

investors to carefully and prudently study the information from the complete version of summarized significant features of securities (Fact Sheet) to clearly understand the product and appraise own risk

Kacha Buacharoon, a securities investment consultant of Phillip Securities, for failure to keep complete records of clients? securities trading orders.Following the investigation report of Phillip

ensure that investors would be informed of up-to-date, complete and sufficient information for investment decision-making in line with the globally recognized standards of the International Organization of

that the group of offerors were made aware of their duties and responsibilities to deliver a complete Form 247-4 to the shareholders, which is in violation of the Securities and Exchange Act B.E. 2535