accounts regularly to prevent other persons from using the accounts to trade securities without the investors’ authorization. Besides, transaction conformation documents must always be monitored to make sure
make sure that they are truly issued by the banks or the asset management companies in charge, and to update their fund books (if any) in the following business day to prevent damage that may be caused
give more emphasis on this matter.” In this regard, SEC is proposing an amendment to the rules on renewal of approval for personnel in capital market businesses whereby an ESG course would be
Bond, Social Bond, and Sustainability Bond focus on raising capital for sustainable projects, the advantage of SLB for companies is that the proceeds are not limited to specific projects and can be used
Under the proposed regulations, in order to be qualified for exemption, the futures exchange, derivatives clearing house, securities clearing house and securities depository shall submit its rule to
committed upon the dishonest misappropriation of the fund for personal gains. The actions committed by Mr. Chiyachantana and Ms. Hongsri were liable to be the offenses under Section 308, Section 311
governance are regularly reviewed, monitored, and given attention to by Thai listed companies. However, it is anticipated that the ACGS criteria will be amended in 2022 to reflect the most recent G20/OECD
could be the potential impacts on NUSA and its shareholders if the court issues an order to revoke the aforementioned transaction as per the petition filed by NUSA?In addition, NUSA is required to update
local securities company would be required to notify the foreign client not to accept purchase orders, transfers or exchanges of securities that would result in Thai investors holding more NVDR securities
client, the local securities company would be required to notify the foreign client not to accept purchase orders, transfers or exchanges of securities that would result in Thai investors holding more NVDR