analysis and decision-making processes 2 We will be active owners and incorporate ESG issues into our ownership policies and practices. 3 We will seek appropriate disclosure on ESG issues by the entities in

past conduct; the cooperation or obstruction with SEC’s investigation; and any previous record or past behavior which indicating that the subject person is not fit and proper to work in capital market

person under consideration; the penalty he/she has already served; the impacts, loss or benefit incurred; any steps taken to rectify past conduct; the cooperation or obstruction with SEC’s investigation

orders in large volumes. The practice may aim to mislead other investors by creating a false impression of escalating bid or offer demands at a given time, or it may be an obstruction to the buying or

or offer demands at a given time, or it may be an obstruction to the buying or selling activities of other investors, consequently compelling them to send trading orders at prices higher or lower than

held this workshop, where knowledge and experiences would be shared for the purpose of active and swift operation, such knowledge include, collecting and inspecting evidence, procedures regarding

most recently, the Growth and Emerging Market Steering Committee. The SEC has placed importance and played active roles in various IOSCO projects and implementing the IOSCO principles and standards.  The

Meeting 2/2019 held in Japan in October 2019. This opportunity reflects once again the confidence of the international regulators in SEC Thailand as the IOSCO APRC host, thanks to our active

conflicts of interest and prioritise advancing the best interest of clients. Principle 3: Make informed investment decisions and engage in active ongoing monitoring of investee companies. Principle 4: Apply

interest of our members. Principle 3: Oversee asset managers to make informed investment decisions and engage in active ongoing monitoring of investee companies. Investment decisions should take into account