). Laid out as a three-year plan, the Initiative has already led to further collaboration between the SEC and nine organizations* in establishing the Thailand Responsible Business Network (TRBN), which

Bangkok, 23 February 2017 ? The SEC has launched the Investment Governance Code (I Code) as a guideline for responsible and sustainable investment management of institutional investors. The seven

case of violation of the aforementioned rules 1.2.4 Communication of the aforementioned rules and penalties to the executives and the employees. For example: they are included in the orientation session

Strategic Plan in the area of sustainable development. For example, improving the quality of ESG data of listed companies via 56-1 One Report, the listed companies’ disclosure assessment, and the

fundraising and without the expectations of scheme success or the consideration of the qualifications of the person responsible for the operation of the scheme. In this regard, the issuance and offering of

and private sectors, Thailand Responsible Business Network (TRBN) and allies therefore launched the “Send Plastic Home” project to promote the “sort at home, drop with us” campaign. They also provided

regulations. For example, they withdrew money from the clients' accounts and used it for other persons' unit purchases in absence of the accounts' owners, or executed unit purchase orders by charging the

changes in the shareholding structure, management or business operation or any other important events (for example, merger and acquisition) during the past three years, if any. 1.3 Shareholding structure In

เพื่อเป็นการยกมาตรฐานในการปฏิบัติงาน ในส่วนที่เกี่ยวกับการเปิดเผยข้อมูลการจัดการกองทุนรวมเพื่อความยั่งยืน (Sustainable and Responsible Investing Fund) ให้มีลักษณะที่ไม่ทำให้เกิดความเข้าใจผิด

Mr. James Gray Mr. James Gray, the management responsible for Antella Investment Inc., operated securities brokerage businesses without proper licenses granted. SEC Act S.301 Criminal Complaint