securities issuers, financial advisors, auditors, market intermediaries, and stock exchanges. Both market integrity and investor protection could not be achieved without high quality financial information
PRI signatories in 2021 New high record of USD 121 trillion collective AUM The rise of sustainable investing & the growing shift to intangible. Thailand perspective: Source: PRI report, Morning Star
Krungthai XSpring Securities Co., Ltd. Krungthai XSpring Securities Co., Ltd. (KTX) offered for sale newly issued securities in the category of of debt securities to high-net-worth investors on a
procedures as specified in the notification by failing to put in place an effective debenture underwriting system to categorize High Net Worth investors. SEC Act S.116 Settlement Committee Meeting No. 4
) Fundamental Knowledge (2) Related Rules and Appropriate Investment Advisory (3) Knowledge on non-complex capital market products and high-risk or complex products, i.e., derivatives, high-risk or complex of
high at 114.02 KBD. Marketing Business was able to increase market share and maintain its 2nd position in the market. Power Plant Business realized additional profit from Solar and Wind Power Plants. As
include: - disclosure of additional information to cover individual remunerations for executives of the highest rank, e.g., chief executive officer and managing director; - extending the periods for
reporting period in case of changes to the securities or derivatives holding by extending reporting periods for small-scale transactions with permission to incorporate small-scale transactions into one report
appraisers for transactions in capital market in the following manners: (1) Extending the approval period from 2 to 5 years. The lead appraiser, however, is still required to take
) Extending the time period for commencing the operation of the business from 180 days to 270 days from the date of obtaining the license. Under the proposed rule, the licensee could apply for an extension of