particular persons; (b) disseminating general advice to the public in such ways that allow persons who demand information to get a convenient access without requirement for member subscription; and (c) giving
; and b) Engaged in audit regulatory functions in the public interest, and, in particular: - Ultimately responsible for the system of recurring inspection of audit firms undertaking audits of public
particular, the stewardship responsibilities of those whose primary activities are related to asset ownership may be different from those whose primary activities are related to asset https://www.sec.or.th
wrongdoings, both in the manners of fraud and unfair securities trading, and the SEC has taken legal actions against these offenders in many cases. In this particular case, the SEC has filed a criminal
their integration of environmental, social and governance considerations into business practices. The social aspect, in particular, includes respect for human rights and gender equality. This strategic
. In particular, the account opening and KYC system is inadequate, resulting in the company’s failure to know its clients and verify the true identity of the clients or beneficial owners. These
particular, she failed to properly discharge her professional duties with loyalty, to provide services with honesty, and to perform her duties with professional due care. The SEC therefore suspended approval
investment. The conducts of all three contravened rules and regulations set forth in the Notification of the Capital Market Supervisory Board. In particular, both {D} and {A} failed to properly discharge
with Section 83 of the Penal Code and Section 315 of the SEA (as the case may be). Moreover, Vijchu’s acts in particular, are deemed failure to perform duties as a private fund manager with honesty and