The meeting will be held on 13-15th June 2023 at Centara Grand and Bangkok Convention Centre at Central World. In conjunction, the SEC Thailand will also hold the SEC Thailand Public Conference on 16th June 2023 under the theme “Envisioning the next horizon: A way towards connected future of capital markets”. Securities regulators, financial experts, associations, and industry participants will be joining a series of panels. More than 400 participants are expected to attend the event....

securities companies on account of failing to submit evidence of securities trading orders in the form of recorded tapes of phone conversations with their clients. Pursuant to the SEC Notification

last year. We are witnessing a profound shift in communication between companies and shareholders—a shift to more regular, candid, behind-the-scenes conversations. We are also seeing investors exert more

that he notified his clients of trading orders at night and failed to keep records of all clients' trading orders. Conversations between {A} and the clients found on the records also indicated the

the duty of investment consultants to record them along with conversations at all times for evidence. The SEC places high importance in this matter because it will be beneficial to both investment

from investigation that the client instruction was unclear and certain conversations could indicate that {F} had made unauthorized gold futures trading decision and informed the client afterward

E_1 Legal_FA_2015_12_29-c A WCorpL4.1hig A Executive Summary of Management Discussion and Analysis 1 For the Year Ending December 31, 2018 In 2018, the overall Thai economy maintained its growth due largely to healthier growth of exports and tourism, especially in the first half of the year. Meanwhile, the government continued to implement measures to promote and strengthen the domestic economy through support of investment and private spending as well as bolstering opportunities for other econo...

conversations while providing advice and accepting trading orders which prevents eliminating, adding, editing or changing of the content of the conversations, etc.; (3) an efficient system for receiving and

-to-know basis and prevents unlawful use of such information; (2) a system for management and storage of data, documents or relevant evidence, for example, efficient records of conversations while

major category, for smaller category, secondary data can be used ● Start conversations with suppliers/consumers/investees to increase awareness of the company’s climate ambition early on Data quality