a selling order for the securities in such account. It was found that prior to the transaction, {A} had learnt of the identity of the securities' beneficial owner who was not the account owner

qualify for rewards. The campaign was to urge and influence customer decisions inappropriately. In addition, Coins TH distributed the advertising material of such campaign without the clear and visible

program and engage in trading activities on the same day to qualify for rewards. The campaign was to urge and influence customer decisions inappropriately. In addition, Coins TH distributed the advertising

A key strategy of SEC is to urge Thai people to realize the importance of financial planning which should be practical to achieve the long-term financial well-being. For this purpose, Thai people

stakeholders’ awareness of the importance of audit quality. This will urge audit firms to further improve their audit quality and strengthen confidence in the financial reporting system and the Thai capital

services as investment consultant and investment analyst and choosing products for investors. Moreover, providing research reports that cover ESG aspects of listed companies will urge listed companies to

meeting with AIMC: ?The SEC encourages the association to urge asset management companies in addition to the current AIMC guidelines, to also comply with the Global Investment Performance Standards (GIPS

assessment according to Clause 30, an intermediary shall obtain at least the following a client ’s information: (1) personal information of the client or beneficial owner and information of their

other related channels, filing complaints with the inquiry officers, and informing the SEC for further publicity.The SEC would like to urge the public to exercise caution when being solicited to make

?Preparing for Happy Retirement? to urge those at working and near retirement ages to realize importance on preparation for financial as well as mental and physical health prior to beginning of the new stage