control unit having duty to monitor internal control system to ensure check and balance mechanism and prevent fraud and embezzlement and (3) investor relations unit having duty to enable effective two- way
would facilitate widespread IPO share distribution and prevent concentration and possible supply control, which are some factors that could lead to price manipulation.The consultation paper is available
proprietary trading will also be required to prevent impact on the business operator?s financial condition and reputation. The consultation paper is available on the SEC website at www.sec.or.th. Stakeholders
Chinese wall to prevent conflicts of interest among their business units must be in place. The relaxation will also extend to the commercial banks? subsidiaries. With regard to an application for
REIT trustee must be independent from REIT manager. For the participation in REITs related businesses, such as underwriting or financial advisory service, a Chinese wall to prevent conflicts of interest
prevent abnormal securities trading. In so doing, both organizations have prepared and disseminated information for monitoring of securities trading in that the SEC has disclosed Turnover List while the SET
example, the issuer have never been rejected any PO submissions due to suspicion in severe inappropriate behavior in the past five years.The revised rules aim to prevent non-listed companies with severe
standard qualifications of salespersons. On the sales process side, the aim will be to prevent mis-selling or inappropriate selling of financial products to investors at the pre-sales, point of sales, as
retail investors and prevent inproportionate share allocation to patrons and related persons of the issuing company in such a way that could control the IPO volume on the Stock Exchange of Thailand (SET
funds), excluding equity funds. The amendments aim to ensure proper unit allocation and prevent any undue benefit by any particular individual. For example, the revisions require any person or group of