global issue and urges all stakeholders in the capital market, particularly asset owners and asset managers, to prioritize positive actions on climate change as they have the decision powers to invest

penalty already served, the impacts, damage or benefits generated, rectification or other actions benefiting or hindering SEC’s operation, and the record or other past behaviors demonstrating

of the person(s) under consideration, the penalty already served, the impacts, damage or benefits generated, rectification or other actions benefiting or hindering SEC’s operation, and the record or

investors. SEC’s actions in this regard over the past months are as follows. 1.     Fund mobilization on the primary market: In August 2019, SEC considered allowing limited companies to mobilize funds on

transportation limitations as well. Such actions above may be liable to concealing material information or disclosing misleading information in contravention of the Securities Law. The SEC is instructing EARTH

trading. The aforesaid actions of Shine were in contravention of Sections 243(1), (2) and 244 of the Securities and Exchange Act B.E. 2535 (1992) (SEA) in conjunction with Section 83 of the Penal Code

regulator, strictly pursues legal actions against wrongdoers to propel the whole market confidence. The success of outcome and damage alleviation for NIPPON were occurred from integrate efforts of enforcement

Personnel of Business Operators dated September 15, 2010. The actions were in violation of Clauses 23(1) and (2) and the prohibited characteristics of the personnel in the capital market business under Clause

submitted in the manner that continually affected the share price. The actions of four investment consultants were deemed as misconducts concerning share price manipulation while the action of executive

derivatives trading orders via the internet from the IP address of Krungsri Securities. Those orders were submitted for a certain period of time.  The actions of Ashiya, Onjira and Wasana that made trading