) Group 2: Constituting an unfair advantage over investor by exploiting the inside information 2.1 Trade securities by using inside information (Section 242) Offender Person who knows or possesses
for Offer for Sale of Investment Units of Mutual Fund for Institutional Investor and Ultra High Net Worth Investor The Notification of the Office of the Securities and Exchange Commission No. Sor Shor
Investor and Ultra High Net Worth Investor The Notification of the Office of the Securities and Exchange Commission No. Sor Shor. 30/2558 Re: Approval of Foreign Auditors Outbound The Notification of
Notification of the Office of Securities and Exchange Commission No. Sor Nor. 11/2560 Re: Prospectus for Offer for Sale of Investment Units of Mutual Fund for Institutional Investor and Ultra High Net Worth
used in legal proceeding in case of violation. Whistleblower protection ● Any employee or worker who provides information or cooperation by giving a tip, testifying or submitting useful documents for
the policy or the supervisory rules in effect at the time or to ensure the interest of investor protection, the SEC is empowered with rights to order the mutual fund management company to take any
(Recommendations of the TCFD) ตัวอย่าง Investor Climate Action Plans โดย AIGCC กรอบความคาดหวังแบบขั้นบันไดของแผนการดำเนินการด้านสภาพภูมิอากาศสำหรับนักลงทุน (Investors Climate Action Plans (ICAPs