collaboration in preventing securities trading violations under the Securities and Exchange Act and the Anti-money Laundering Act. This agreement aims to support effective law enforcement capabilities and
The prevention and management of conflicts of interests in investment management businesses are one of SEC’s important strategies because the business structure in Thailand is financial conglomeration, which is hard to avoid making transaction with relevant parties such as, the sales of securities via affiliated securities companies and any instruments issued or distributed by commercial banks as parent companies.Therefore, SEC has revised such regulations and guidelines for the investment...
The webinar held on March 26, 2024 aimed to reinforce the roles and duties of the boards of directors in accordance with good corporate governance, which include prevention, deterrence and suppression of improper behaviors of listed companies. The webinar also aimed to communicate and build the understanding of revisiting rules and oversight measures that the SEC and the SET have revised to elevate the quality and good governance of listed companies. Mrs. Pornanong Budsaratragoon, SEC Sec...
, “Preventing, Deterring and Suppressing Improper Behaviors of Listed Companies”. This event was part of the Strengthening Corporate Governance of Listed Companies Initiative, aimed at encouraging the boards
The prevention and management of conflicts of interests in investment management businesses is one of SEC’s important strategies because business structure in Thailand is characteristic of financial business operation, which is hard to avoid making transaction with relevant people such as, the sales of securities via affiliated securities companies and any instruments issued or on sale by commercial banks as parent companies.Therefore, SEC has revised such regulations and guidelines for...
of Company Secretary, the Establishment of New Subsidiary and Subsidiary to Purchase Drug Care Company Limited (Revise no. 2) 10/11/2021 09:27 Notification of the resignation of Chairman of the Audit
Committee, Appointment of Audit Committee, Appointment of Company Secretary, the Establishment of New Subsidiary and Subsidiary to Purchase Drug Care Company Limited (Revise no. 2) 10/11/2021 09:27
focus on preventing, deterring and suppressing inappropriate behaviors and misconduct as well as effective enforcement in all cases, at a media briefing on 6 February 2024, at the SEC Building.More
the issuer’s core business. In any event, the issuer must not operate business in such a way that involves severely illegal business. For example, human trafficking, drug production or smuggling, or
involves severely illegal business. For example, human trafficking, drug smuggling or money laundering etc. Moreover, the issuer must not act in violation or non-compliance with the law, which may cause