misconduct above – taking the investor’s assignment to make decisions on trading of securities and derivatives and fabricating that certain derivatives trading orders were sent by the investor – was deemed

sustainable development of the respective capital markets. In the initial phase, the SEC has developed Additional Guidance for disclosing sustainability information for Hong Kong's ESG Funds, intending to

ในระยะแรก ก.ล.ต. จึงได้จัดทำ Additional Guidance ซึ่งเป็นคู่มือด้านการเปิดเผยข้อมูลด้านความยั่งยืนของกองทุนรวมเพื่อความยั่งยืน (ESG Fund) ฮ่องกง ที่ประสงค์จะติดตราสัญลักษณ์ SRI Fund ในการเสนอขาย

Earlier, the SEC filed a criminal complaint against the 10 entities with the Department of Special Investigation (DSI) on account of fabricating financial statements, disclosing false information in

services with loyalty* by concealing, hiding and fabricating false evidence, and therefore revoked the approval and will not accept her future application for approval as personnel in the capital market

or provide services with loyalty* by concealing, hiding and fabricating false evidence, and therefore revoked the approval and will not accept her future application for approval as personnel in the

complaint against 10 individuals with the Department of Special Investigation (DSI) on account of fabricating STARK financial statements, disclosing false information in the registration statement for

intention to conceal the fact and fabricating false evidence.  She was employed by Phillip Securities (Thailand) Public Company Limited at the time of committing such offenses.   Following a referral from

launched Bondholders’ Meetings Handbook provides comprehensive guidance to bond issuers, bondholders’ representatives and bondholders, outlining their rights and responsibilities, before, during and after

to order or act where he has the duty, resulted in the offence committed by Zipmex concerning the case that since January 1, 2022, Zipmex has not been providing policies, measures, and guidance for