which are in compliance with sustainable development and used to define business targets.Besides, institutional investors play a major role to drive and monitor listed companies for adoption of
comments and suggestions from the focus group consultation in November last year. The draft amendments would also improve market readiness and reduce compliance cost. The essences of the proposed amendments
seeking advice on fundraising or applying for a digital asset business license in compliance with th Royal Decree on Digital Asset Businesses B.E. 2561 (2018) are welcome to contact the SEC Digital Asset
, and seeking the annual general meeting’s resolution for ratification of the financial support transaction is in compliance with corporate governance principles. The aforesaid loan transaction is
considered a failure to perform duties with responsibility and deliberation as a professional. His non-compliance with the client’s instruction and his giving of advice with the implication of return guarantee
-compliance with standards of conduct of investor contacts in violation of Clause 14(7) of the SEC Office Notification No.SorKhor. 49/2552 Re: Approval for Investor Contacts and Standards of Conduct dated 14
. They must render services and perform duties honestly in compliance with professional standards and codes of conduct. On the other end, investors themselves must strictly abide by trading regulations
?s purchase. The letter of guarantee on the Fund?s revenue prepared by him contains the conditions, not in compliance with the Fund scheme. Nukul also received some benefits from the property seller to
served.Investors are strongly advised to be careful and not to allow investment consultants to make trading decisions for them. Compliance unit should be immediately informed if a trading account is used without the
Compliance, Inspections, and Examinations (OCIE) to share their experience with more than 200 capital market personnel from the SEC, the Stock Exchange of Thailand and securities companies on programmatic and