enforcement actions related to takeovers, market manipulation and insider trading, and corporate fraud. In February 2012, the courts sentenced 26 defendants in two cases for fraud in listed companies. It also
Annual Report 2001 A N N U A L R E P O R T 2 0 0 1 S E C U R IT IE S A N D E X C H A N G E C O M M IS S IO N & O F F IC E O F T H E S E C U R IT IE S A N D E X C H A N G E C O M M IS S IO N , T H A IL A N D SECURITIES AND EXCHANGE COMMISSION, THAILAND OFFICE OF THE SECURITIES AND EXCHANGE COMMISSION, THAILAND ANNUAL REPORT 2001 SECURITIES AND EXCHANGE COMMISSION, THAILAND OFFICE OF THE SECURITIES AND EXCHANGE COMMISSION, THAILAND 10th and 13th-16th Fl. Diethelm Towers B, 93/1 Wireless Road, Lump...
dissemination) การใช้ข้อมูล ภายใน (insider trading) การซื้อขายตัดหน้าลูกค้า (front running) การสร้างราคาหลักทรัพย์ให้ผิดไปจากสภาพ ปกติของตลาด (market manipulation) เป็นต้น เพ่ือดูแลให้การซื้อขายหรือแลกเปลี่ยน
บติัตามหลกัเกณฑก์ารก ากบั ดูแลประกอบดว้ย1 2.4 จดัใหมี้ขั้นตอนการปฏิบติังานรวมถึงมาตรการในการก ากบัดูแลและการบงัคบัใชก้ฎหมาย1 ท่ีสามารถป้องกนัการแทรกแซงจากการเมือง (political interference) หรือกลุ่ม
20T H ANNIVERSARY 1 Securities and Exchange Commission, Thailand Annual Report 2012 SEC ANNUAL REPORT 20122 THE YEAR OF CHANGE The year 2012 was the time for change to become the visionary partner whose balance between proactive and preventive approaches has led to stakeholders’ confidence in the Thai capital market. THE YEAR OF CHANGE 20T H ANNIVERSARY 1 02 MESSAGE FROM THE CHAiRMAN 04 MESSAGE FROM THE SECRETARY-GENERAl 06 SEC BOARd 09 CApiTAl MARkET SupERviSORY BOARd 12 ExECuTivE OFFiCERS 13 O...
SECURITIES AND EXCHANGE COMMISSION, THAILAND ANNUAL REPORT 2014ANNUAL REPORT 2014 CONTACT INFORMATION This report can be downloaded from www.sec.or.th For more information about this report, please contact: SECURITIES AND EXCHANGE COMMISSION, THAILAND 333/3 Vibhavadi-Rangsit Road, Chomphon, Chatuchak, Bangkok, Thailand 10900 Tel. 1207 or +66 2695 9999 e-mail: info@sec.or.th This 2014 Annual Report is about policies, strategies and performance of the SEC. We aim to supervise and develop the Thai...
INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2020 SECURITIES AND EXCHANGE COMMISSION, THAILAND Contents Executive Summary 01 04 08 15 28 58 62 70 47 Quality Assurance Review Panel Activities for Enhancing Financial Reporting Quality Summary of Audit Inspection Results A. Firm-Level B. Engagement-Level Root Cause Analysis Framework and Focuses in 2021 Essential Statistics Auditing Landscape in Thailand Executive Summary Over the past year, the Thai capital market experienced tremendous volatili...
effectively. They should operate robust policies to deal with inside information and to avoid market manipulation. 3.5 Appropriate remuneration structures Institutional investors’ pay structures should
อำญำตำม Police Force Ordinance โดยเจ้ำหน้ำทีตำรวจจะทำงำนร่วมกับ SFC ในกำรดำเนินกำรสืบสวนสอบสวนกำรกระทำควำมผิด เกียวกับสร้ำงรำคำหรือปริมำณหลกัทรัพยห์รือกำรปันหุน้ (market manipulation) และควำมผิดฐำนใช้
Principles of Corporate Governance - G20 version G 20/O E C D P rin c ip le s o f C o rp o ra te G o ve rn a n c e G20/OECD Principles of Corporate Governance ENG_Corporate Governance Principles_Cover.indd 3 27-Aug-2015 6:43:10 PM G20/OECD Principles of Corporate Governance OECD Report to G20 Finance Ministers and Central Bank Governors September 2015 G20/OECD PRINCIPLES OF CORPORATE GOVERNANCE © OECD 2015 3 Note by the OECD Secretary-General G20 Finance Ministers and Central Bank Governors Meet...