Securities Public Company Limited (?AEC?) (Changed the name to Beyond Securities Public Company Limited) failed to perform her duty resulting in AEC?s violation of section 97 SEC Act S.283 Settlement

Mr. Somprasong Panjalak Mr. Somprasong Panjalak, Managing Director who is responsible for the operation of Prime Road Power Public Company Limited (?PRIME?), had duty to supervise the preparation

Roojai Company Limited Roojai Company Limited ("ROOJAI"), a securities issuer, had a duty to prepare and submit the financial statement for the year 2021 within 31 June 2022. However

Roojai Company Limited Roojai Company Limited ("ROOJAI") had a duty to prepare and submit the key financial ratio for the year 2021 within 30 June 2022. However, ROOJAI prepared and

Phuket Fantasea Public Company Limited Phuket Fantasea Public Company Limited (“PHUKET”) had a duty to prepare and submit the financial statement for the year 2021 within 31 March 2022. However

(“UOBAM”) failed to order or act duty resulting in UOBAM failed to communicate with clear and reliable information, and without misleading information. SEC Act S.283 paragraph 1 Settlement Committee

Tapaco Public Company Limited Tapaco Public Company Limited (“TAPACO”) had a duty to prepare and submit the financial statement for the year 2022 within 3 January 2023. However, TAPACO prepared and

All Inspire Development Company Limited All Inspire Development Company Limited (“ALL”) had duty to prepare and submit financial statement for Q3 year 2023 within 14 November 2023 which is the period

......................................................................................................................... 34 Fiduciary Duty and ESG Engagement .............................................................................................................. 35 When Is Divestment More Appropriate Than

• Key contribution: Only one other laboratories. Not all financial institutions can capture regulators. Regulator roles different. IMPORTANCE OF INVESTMENT ADVISERS IN USA FIDUCIARY DUTY • In USA