B.E. 2535 (1992). By committing the aforesaid act with a wrongdoing intent, Wichai benefited from the results of the election. Such misconduct is therefore liable to dishonest performance of duty

the company to expedite the submission to the SEC and the disclosure through the SET Electronic Information System. Meanwhile, EARTH executives are subject to investigation regarding their duty

Following an AIA report on clients’ complaints and SEC’s further investigation, it was found that Chalermwut had misappropriated the money received from two clients to pay for their annual premium of unit-linked insurance policies. He did not deliver the money to the company and spent the money for his own interest instead. As a result, the clients’ insurance policies and the protection coverage lapsed.  Chalermwut’s wrongful acts against investors’ assets were liable to failure to perform...

คณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) จึงปรับปรุงหลักเกณฑ์ที่เกี่ยวข้อง เพื่อรองรับกับมาตรการดังกล่าว โดยขยายขอบเขตการลงทุนของกองทุน Thai ESG เน้นบทบาท บลจ. ในการใช้ fiduciary duty เพื่อ

protection of investors? interest. However, effective implementation needs cooperation from asset management companies in self-monitoring, self-regulating and reporting to the SEC on a regular basis. In any

costs on the existing platforms, for example, crowdfunding.?In promoting effective supervision, the SEC continues to focus on three areas, namely (1) regulatory discipline, (2) self-discipline of

sending in line application. The banking and financial sector will be affected directly. Self-adjustment must be made and new forms of business must be found to cope with this likely trend as it could

. Insider trading is prohibited and other types of self-dealing and conflicts of interest are regulated. The SEC actively monitors the market for abusive practices. Institutional investors regularly vote

encourage active co-operation between companies and employees.  Securities regulators, stock exchanges, self-regulatory organisations and investor groups should continue to educate companies and the public