Code serves as a guideline for listed companies in installing CG principles into various facets of their business operation. This includes the formulation of company?s directions, strategies and
explanation to the SEC accordingly. In performing duties, investment consultants can send trading orders only when obtaining instructions from the clients. They are not allowed to make securities
obtaining the clients? instructions. They cannot make securities and derivatives trading decisions on behalf of clients, regardless of the client's permission. In this regard, the aforesaid {A}'s actions
customer since 2008. On April 24, 2011, {A} sent a letter that she accepted the trading decisions without the client's instructions. In addition, she had been authorized by her client to make securities
securities trading orders from persons being neither account owner nor account owner's appointee; and failing to keep a complete record of trade order instructions; in violation of Clause 20(2) and (3) of the
authorization that {A} had obtained to make securities trading decisions on the clients' behalf.In performing their duties, investment consultants can send trading orders only when obtaining instructions from
strategic directions in the Strategic Plan 2023-2025 is to raise potentiality of the Thai capital market towards “Sustainable Capital Market” by encouraging listed companies to conduct their businesses
17 April 2024 to get updates on the situation and operational directions of the Fund, inquire about relevant information and closely monitor the Fund’s financial liquidity. This is because it could
securities. SEC has taken measures to enhance the efficiency of the bond market ecosystem and so far has made progresses in certain areas.” To ensure that the policies, directions, goals and key guidelines