transportation, the SEC requests intermediaries’ cooperation in considering virtual operation or the work-from-home routine during the said period. 

offering information of each class of bonds, types of offering, risk levels, fact sheets, and relevant reports etc., to enable convenient access of the public and interested parties. The information can be

(Thailand) Plc. Earlier, the SEC found in a routine inspection of Maybank Kim Eng Securities (Thailand) Plc., that {A} had been authorized by his clients to make securities trading decisions on the clients

) Plc., for not recording the securities trading orders and inappropriate submission of trading order form (F8). From a routine inspection of UOB Kay Hian Securities (Thailand) Plc, the SEC found that {A

electronically file an application through the OFAM system without having to submit hard copies to SEC. The move is expected to save 1.6 million sheets of paper per year, or equivalent to 39 tons of carbon

1.6 million sheets per year, accounting for 39 tons of carbon dioxide exhaustion. This paperless process could also save operating costs such as printout delivery, electricity and document storage by

international standards such as UN SDGs. Additionally, fact sheets and prospectuses of SRI Funds are downloadable from the ESG Product Platform for the convenience of interested individuals.     The SEC

routine inspection of Kasikorn Securities Plc, the SEC found that {A} did not record a number of derivatives trading orders from a client. {A} admitted that she received the client's derivatives trading

securities investment consultant, namely {E}, were suspended, effective from September 11, 2014.The SEC's routine inspection of RHB OSK Securities (Thailand) Plc., found that {B}, {C}, {D} and {E} had prepared

Securities Plc., for trading securities on behalf of clients.From a routine inspection of UOB Kay Hian Securities (Thailand) Plc, the SEC probed into {A}'s case and found certain communication record