“Policy Directions on Sustainability-related Financial Disclosures,” exchanging the SEC’s sustainability disclosure policy from the regulatory perspectives with expert experience in Thailand and the
opportunities and threats, e.g. Fintech, sustainable finance, SME accessibility to funding sources, RegTech/SupTech etc. as well as directions for strengthening cooperation for developments towards capital
post-COVID-19”. As well, Mr. Pichit Akrathit, SEC Chairman, also gave his speech on the roles of Thai capital market toward the Thai economy and the roles of the SEC in laying out policies and directions
Code serves as a guideline for listed companies in installing CG principles into various facets of their business operation. This includes the formulation of company?s directions, strategies and
policy directions to support product issuance and business services, improvements to regulations governing Depositary Receipts (DRs), and the development of guidelines to enhance KYC/CDD practices. The
explanation to the SEC accordingly. In performing duties, investment consultants can send trading orders only when obtaining instructions from the clients. They are not allowed to make securities
obtaining the clients? instructions. They cannot make securities and derivatives trading decisions on behalf of clients, regardless of the client's permission. In this regard, the aforesaid {A}'s actions
customer since 2008. On April 24, 2011, {A} sent a letter that she accepted the trading decisions without the client's instructions. In addition, she had been authorized by her client to make securities
securities trading orders from persons being neither account owner nor account owner's appointee; and failing to keep a complete record of trade order instructions; in violation of Clause 20(2) and (3) of the