related https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=9809 SEC advises listed companies to exercise care and caution before investing in digital assets On 17 September 2021, the SEC sent a circular

a better understanding of risks related https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=9809 SEC advises listed companies to exercise care and caution before investing in digital assets On 17

companies to exercise care and caution before investing in digital assets such investment. This is to prevent material impacts on the companies’ financial position or operating results as digital asset

education, experience, investment goals, investment conditions and restrictions. It is important for investment consultants to exercise due care and clearly explain risk factors involved in mutual fund

professional standards to exercise prudence and due care in submitting information and documents to the SEC. The information and documents must be correct and complete without any concealment, deletion or

exercise due care in designating engagement with complexity or requires specific technical knowledge to the appropriate partners and divisions. - Some firms have rendered policies to not accepting new

firms did not concern over significant client’s issues before accept those clients. Example 1 : There was insufficient documentation regarding client acceptance evaluation. In addition, some evaluation

Authority. With a concern for its staff's work-life balance, the SEC provided conducive working environment, physical and mental healthiness programs, as well as staff relations activities on special

confidentiality and data protection. The SEC has put in place internal procedures to ensure that its exercise of powers and duties are consistently applied. Operational Risk Management The SEC has developed its

likely to avoid over-regulation, support the exercise of entrepreneurship and limit the risks of damaging conflicts of interest in both the private sector and in public institutions. A. The corporate