, market discipline, and self-discipline. Regulatory Discipline This is driven by the public sector through an issuance of rules and regulations. The objectives are to maintain fairness, prevent unfair
and executives (Section 317/1(2)(3)) - Whistle blower (Section 89/2, 89/25) Prevention of Unfair Securities Trading Practices (Section 238 - 244/7) - Penal provision for unfair securities trading
Monitor inappropriate or unfair actions ë Monitor and update a database of qualified executives ë Handle complaints against malpractice and breach of specified rules and regulations ë Approve rules and
, issue or offer of securities for sale to the public, acquisition of securities for business takeovers, and prevention of unfair securities trading practices. Such power shall include: (1) the issuance of
related businesses, organizations related to securities business, issue or offer of securities for sale to the public, acquisition of securities for business takeovers, and prevention of unfair securities
) not having a demeanor of unfair act or taking advantage of investors on trading or investing in capital market product , or participating in or supporting such acts performed by other persons. Clause 24
Regulations on Providing Services of Derivatives Agent ______________________ Clause 13 For the purpose of preventing and ceasing unfair acts or improper investments or transactions, an intermediary shall
Services to Clients of Securities Companies and Derivatives Intermediaries (No. 5) dated 12 February 2019 (effective on 16 March 2019). 8 Clause 13 For the purpose of preventing and ceasing unfair acts or
Services to Clients of Securities Companies and Derivatives Intermediaries (No. 5) dated 12 February 2019 (effective on 16 March 2019). 8 Clause 13 For the purpose of preventing and ceasing unfair acts or
other countries in the manner of price-dumping and unfair trade and finally will lead to the enforcement of Anti-Dumping or Safeguard measures. The world steel production capacity utilization ratio of the