shares acquired under the REPO agreement at a higher price after the price manipulation.Such conduct constitutes a violation of Section 243(2) of the Securities and Exchange Act B.E. 2535 (1992). The Act
opinion by an auditor approved by the Office, and such auditor must not be a director, staff member or employee of such securities company. The auditor of the private fund must adhere to the code of conduct
. “securities company” means an entity granted a license to undertake securities business in the category of securities brokerage. “Notification on Standard Conduct of Business” means the Notification of the
perspectives on developing infrastructure policies that integrate technology in offering and trading financial products within the capital market. The SEC also met with representatives from the Financial Conduct
to conduct an inquiry into certain criminal offenses that may seriously undermine trust and confidence in the capital market or national economic system and aligning penalty measures with Section 77 of
enable LiVEx-listed companies to conduct business with more flexibility, while continually maintaining appropriate levels of investor protection. Another proposed amendment is a revision to the mai/SET
country's economic growth.“As an inquiry official in high-impact cases, the SEC would have the authority to conduct investigations and, upon completing the case file, would submit the case along with our
the requirement for audit firms to conduct information technology auditing by IT specialists, the most respondents agree. The SEC has drafted relevant regulations by taking into consideration the
instructed the special case inquiry official to conduct further investigation.On 24 January 2024, the SEC, led by Mr. Thawatchai Pittayasophon, Deputy Secretary-General, and Ms. Pattanaporn Tripipat