underwriting will also be revised in responsive to current circumstances. The consultation paper is available on www.sec.or.th. Stakeholders and those interested in the proposal are welcome to submit comments
specifying securities, amount and price. The clients accepted his trading decision without asking for any information on market condition or relevant securities. In Kacha case, the SEC found that he did not
have conflict of interests or there are adequate measures to manage conflict of interests Principles : Controlling persons or those who have influence on a listed company (directors, executives and
solicitations have been found via online channels such as websites, Facebook and YouTube regarding the products that may be liable to be digital assets (called by many names such as coin, token or digital coin
into case and found that auditor was aware of illegal activities during auditing or reviewing of financial statements according to accounting standards but failed to report the SEC, auditor would be
business continuity management and plans; - have a customer onboarding and Know Your Customer system (KYC) that are appropriate to evaluate product risks against characteristics of each customer
prosecution. The power to adjudicate whether any person is guilty or not is, however, vested on the court of justice. The SEC would like to emphasize that digital asset businesses are regulated under the
into case and found that auditor was aware of illegal activities during auditing or reviewing of financial statements according to accounting standards but failed to report the SEC, auditor would be
Criminal action is a type of law enforcement against any person who acts or omits to act in violation of the laws administered by the SEC. Criminal actions are divided into two groups, namely: (a) criminal
Governance Code Implementation of the CG Code is on an ‘apply or explain’ basis; the board is encouraged to apply each Principle and Sub-Principle by means that are suitable for the company’s business. If