industry groups and committing to targets as they shift gears to invest in a global economy that is transitioning into a low-carbon world. STRICTLY PRIVATE AND CONFIDENTIAL. FOR PROFESSIONAL INVESTORS ONLY
committing both of insider trading and disclose inside information. Director of Company Unfair Securities Trading Activities *In JAS case, there was one offender signed a letter of consent on 6 January 2020
potential investments before committing. • Motivated to research the range of investments incorporated in investment products in order to make both a financial and ethical decision on their suitability
deemed committing an offence. Moreover, the SEC has obligation to maintain confidentiality of the acquired information in the same manner as other information acquired from performing its duties and is
doubtful evidence or documents which can clearly be identified that they are forged; (12) it is found under the KYC/CDD process that the client is involved with the committing of predicate offence or money
with the committing of predicate offence or money laundering offence under the Thai or foreign laws; (13) the client shows unusual curiosity by making inquiries on internal policies and procedures
KYC/CDD process that the client is involved with the committing of predicate offence or money laundering offence under the Thai or foreign laws; (13) the client shows unusual curiosity by making
alleged person is considered committing a violation, [the authority] shall determine and order an imposition of administrative sanction. The SEC Office shall notify the alleged person of the result of
responsibilities on behalf of such juristic person. In case of committing a legal offence, such juristic person is subject to legal liabilities. In this regard, the person(s) with the management authority and the
within the scope of duties of capital market personnel. The said actions of both executives were in violation of Section 283 of the SEA, which was the result of the company committing an offence under