while focusing on protecting and safeguarding the best interests of the investors. 1.4 The private fund management company shall not follow orders of the clients without any considerations and judgments
liquidity and redemption of fixed income funds Increase institutional investors’ role and promote long-term investment among retail investors ● Coordinated with the Revenue Department to promote long-term
forecast to strictly control the investment budget and cash flow. Moreover, the Company has closely coordinated with the customers, suppliers and all stakeholders to share information in order to prepare the
activities on various platforms. A total of 202 accounts have been reported, with 192 on Facebook, 1 on Instagram, and 9 on LINE (as of 30 November 2023). Upon receiving these tips, the SEC coordinated with
, characterized by coordinated actions in placing trading orders to manipulate the price of FVC share. Moreover, the SEC has found that many offenders in this case had been consistently involved in other
potential for profits in narrow price ranges. In this regard, the SEC has coordinated with the SET to establish mechanisms for scrutinizing securities trading orders placed through such systems. This is to
Annual Report 2010 ANN UAL REPORT 2010 SECURITIES AND EXCHANGE COMMISSION, THAILAND ASEAN ECONOMIC COM MUN ITY Vision S = Setting High Standard E = Ethical C = Committed Pro = Professional Mission Core value: SEC-Pro The SEC develops and supervises the Thai capital market to ensure efficiency, fairness, transparency and integrity. The SEC is to establish the Thai capital market as an important alternative for investors and fund raisers with an efficient mechanism for investor empowerment and, in...
safeguarding and preventing against damage and fraud as well as procedures to ensure the accuracy and reliability of its financial statements which shall be audited by the Office of the Auditor General of
system in safeguarding clients’ confidentiality. The SEC therefore urged EY to rectify the system to be more stringent and the company has already done so. In addition, the SEC has sent a circular to all