and procedures as specified in the notification by failing to put in place an effective debenture underwriting system to categorize High Net Worth investors. SEC Act S.116 Settlement Committee

with the rules, conditions and procedures as specified in the notification by failing to put in place an effective debenture underwriting system to categorize High Net Worth investors. SEC Act S.116

Krungthai XSpring Securities Co., Ltd. Krungthai XSpring Securities Co., Ltd. (KTX) offered for sale newly issued securities in the category of of debt securities to high-net-worth investors on a

, failed to comply with the rules, conditions and procedures as specified in the notification by failing to put in place an effective debenture underwriting system to categorize High Net Worth investors

, conditions and procedures as specified in the notification by failing to put in place an effective debenture underwriting system to categorize High Net Worth investors. SEC Act S.116 Settlement Committee

://publish.sec.or.th/nrs/6564p.doc monitoring.doc Audit Firm Name: Subject : Monitoring Prepared by Date Particulars Reference /Guidance Notes Description A Monitoring the Firm’s Quality Control Policies and Procedures

of the supervision and monitoring of the activities and businesses relating to digital assets and the transparency of such activities and https://www.sec.or.th/TH/Documents/ActandRoyalEnactment/Act

) Improving the Data Environment: ESG disclosure which has quality in accordance with international disclosure standards is crucial for making and monitoring financial decisions, as well as devising financial

principles and guidelines for policy making, from investment decision-making to close monitoring of invested companies. Fund managers can also contribute by improving monitoring measures or teaming up with

on corporate governance principles. This includes management of investment money, performance monitoring of target listed companies, preparation and disclosure of responsible investment policy, strict