’ instruction and refused to facilitate a meeting venue for the board of directors’ meeting. Such misconduct was therefore deemed as the failure to perform his duties as a listed-company director and executive
The rules on margin lending (margin account) which have been in effect since 1997 permit SC to lend money to its customer only for the purpose of purchasing listed securities on a condition that
reflected the SEC?s effort in the past years in implementing more stringent inspection on audit quality assurance system of audit firms. The quality of audit activities of Thai listed companies thus conforms
fund can invest in an infrastructure fund listed on the stock exchange not exceeding 15 percent of its net asset value (NAV); and not exceeding 25 percent of NAV for a fund offering investment units for
said criteria will be announced.Vorapol Socatiyanurak, SEC Secretary-General said, ?Under the revised criteria, all shares having high turnover ratio will be listed on the Turnover List as the limit of
Section 113 Securities and Exchange Act B.E. 2535 Section 113. In operating the business of securities brokerage in the Securities Exchange for listed securities, a securities company shall operate
categorized by issues 2022 3 Action on financial statements of listed companies 2022 4 Action on approved persons 2022 5 Aggregate complaints data 2022 6 Investigations classified by types of offences
progresses in the areas of market supervision and development, such as quality enhancement of IPO issuers and listed companies, legal enforcement in various cases, and improved transparency and fairness in
: Navigating the Information Security Landscape" for company directors, executives, personnel of medium and small-sized listed companies, SMEs, and crowdfunding issuers. The webinar aimed to enhance the