Bangkok, March 25, 2015 ? Equity private placement deals of listed companies have been significantly increased recently while the existing rules do not cover certain circumstances that might be

surveillance system that was not circumspect enough to warn Bitkub to immediately realize a transaction that might be a price manipulation. DAB Act S.30 Settlement Committee Meeting No. 7/2021 Settlement

instrumentality of a government; or a company, corporation, partnership, trust, estate, or association. similar product. product or transaction that has inherent credit risk. rated obligation. THE IOSCO CODE OF

companies, both financial and non- financial. To the extent they are deemed applicable, they might also be a useful tool to improve corporate governance in companies whose shares are not publicly traded

sufficient information by concealing important information that might adverse affect the client's benefits. Following the report of UOB Kay Hian Securities (Thailand) Plc. and a client complaint, the SEC

by concealing important information that might adverse affect the client's benefits. Following the report of UOB Kay Hian Securities (Thailand) Plc. and a client complaint, the SEC probed into {A} case

significant improvements in several areas within the element of ethical requirements. For instance, audit firms have established policies and procedures to prevent any conflicts of interest that might arise

-19 outbreak in many counties has not been resolved. Such current situation may have a negative impact on Thai listed companies that have core business in COVID-19 affected countries, or it might

inherent credit risk. rated obligation. THE IOSCO CODE OF CONDUCT FUNDAMENTALS FOR CREDIT RATING AGENCIES As described in the IOSCO CRA Principles, CRAs should endeavor to issue credit ratings that help

assets, including government or corporate bonds and deposits. The asset management companies might offer investors certain options on terms and payout periods or allowed them to customize their own