material opportunity for investors. 3. Our clients are demanding action on climate change. – Institutions are targeting Net Zero – Retail investors demand Responsible Investments 4. Regulators and Standard
consequently criminal punishment. If other actions of POLAR executives are found to be liable to any offence under the Securities and Exchange Act, the SEC shall take legal action strictly in due course
99.57 million become overdue. Due to liquidity problem and receiving notices demanding for payment from major creditors, thus to prevent bankruptcy situation, GSTEL had submitted the petition requesting
Code: G11, G23 14 1. Introduction Stock selection is a demanding task, both in terms of time required and https://www.sec.or.th/TH/Documents/SECWorkingPapersForum/working-paper-forum-25611128-fund2.pdf
relating to disciplinary punishment for members’ demeanor to the SEC Office without delay; (b) disclosing information relating to [i] violations or offences in connection with asset appraisal or failing to
…………………………… In offence relating to.……………………………………………. Under the law……………………………………………………. Punishment ……………………………………………… Completion date of punishment………..… (attachment) (if any) O No (2) Was convicted by the final
.……………………………………………. Under the law……………………………………………………. Punishment ……………………………………………… Completion date of punishment………..… (attachment) (if any) O No (2) Was convicted by the final judgement of the court for an offence under
, any punishment that promotes firm quality, and relevant personal evaluation criteria) and Please describe the details of such actions briefly. B20 How does the firm's leader communicate the audit firm
punishment.”_____________________
SEC. Therefore, it is deemed that {B} has already served SEC’s punishment in full. In considering a punitive measure, SEC takes into consideration the following factors: related roles and behaviors