had affixed signature on subscription orders, redemption orders and switch orders of investment units, in his position as investment consultant, without meeting with or giving advice to a client in

the clients’ handwriting, subscription orders and switch orders or unitholders’ account books, causing damage to four clients at the total amount of 10.44 million baht. The SEC has considered that

into force since 3 March 2021. Additionally, the SEC has revised related regulations to allow the existing business operators to switch to License E or PF License in line with the business model they

aspect of ESG principles, from the areas of capital market products and issuers to intermediaries and investors. The SEC also encourages business sectors in the capital market to disclose ESG information

Corporation PCL. This amalgamation in accounting aspect has to be a sell of existing subsidiary, and then invest in the new bio-fuel company instead (KSL’s new associated company). As a result, the Company

et. Al. (2011) find that the switch to free-float weighting in the S&P 500 Index shows the effect of the availability of shares on liquidity in the medium term while the differences in liquidity and

. Most of them asked about SEC’s role in digital aspect, DLT projects and crowdfunding. _______________________________

give advice for those who are interested to operate business from now in order to make them understand standards in each aspect. This will be preparation for submitting applications for licenses once

the SEC’s supervision. Under the new rule, which will become effective from 1 October 2022 onwards, the qualifications of such investors are amended to incorporate an aspect of adequate financial

profit should also be avoided while accounting aspect of the transaction remains unclear as it could affect company share price and constitute a violation of securities law,? Chalee added.