which have been licensed or registered properly at www.sec.or.th and “SEC Check First” application. In addition, investors can inquire or send a tip on suspicious acts to SEC Help Center via 24-hour Hot

business operators which have been licensed or registered properly at www.sec.or.th and “SEC Check First” application. In addition, investors can inquire or send a tip on suspicious acts to SEC Help

interest before deciding to invest. In case of IPOs, investors can access important information in the prospectus provided by the issuer or inquire securities companies. After subscription, investors should

related information thoroughly and inquire GJS executives for further details and clarification in order to make a well-informed decision and exercise the voting right to protect their own interest

better results than that of previous year. This element, however, contains more key deficiencies than other ISQC1 elements and thus remains an area of key concern for the SEC. The inspection findings are

pressure to meet directly with board members on sustainability topics of mutual concern. The pressures on investors to increase their levels of engagement with companies (and also with regulators and other

proposing to review the regulations governing debt securities of all types and related notifications. In essence, the proposed amendments to the debt securities regulations concern the followings:  (1

firms did not concern over significant client’s issues before accept those clients. Example 1 : There was insufficient documentation regarding client acceptance evaluation. In addition, some evaluation

such as push selling or unsuitable distribution of financial products are found as a common area of concern arises in many jurisdictions, which poses challenge to the regulators. In this view, members

implementing anti-graft practices. Should they raise concern and seriously implement policy to fight against corruption, it will bring about social pressure to reinforce social performance, particularly for the