make securities trading decisions on behalf of the clients on a continual basis, for a high volume of trading transactions. In addition, the communications records indicated that she had taken trading

that he notified his clients of trading orders at night and failed to keep records of all clients' trading orders. Conversations between {A} and the clients found on the records also indicated the

amounts of the interests were recorded as income in the GLH’s financial statements, which was considered fabrication of accounting records and exaggeration of GL operating results. Mr. Konoshita’s

public with long-term savings and investment options while fostering the transparent and sustainable growth of the Thai capital market. During the event, SEC Secretary-General emphasized the SEC’s role in

transparent and fair management in line with international standard good governance guidelines, we are building trust and confidence of in all parties involved, including stakeholders and market participants

transparent, fair and free from anti-competitive situations;        (2) Post-approval duties of the association: The association shall perform its duties in accordance with good governance principles and

committing fraud, misappropriating the company's assets and falsifying accounting records by executing concealed transactions through several associated companies abroad to exaggerate the company's operating

records of investors’ assets under custody of the business operators must be accurate, complete and updated while the assets must be properly protected from relevant risks. In September 2021, the SEC

than actual value as deposit for shares purchase of another company. In addition, he permitted false records or no record of important information in the company’s accounts and documents, and also

fair, efficient and transparent; and the reduction of systemic risk.3 Quality and integrity of the credit rating process CRAs should endeavour to issue opinions that help reduce the asymmetry of