Entitled “WEPs Principles to Actions,” the workshop was conducted in partnership with the Securities and Exchange Commission, Thailand (SEC), and Thai Listed Companies Association (TLCA), as part
supervisory efficiency and alignment with the supervisory guidelines under the Securities and Exchange Act B.E. 2535 (1992).The consultation paper is available at https://www.sec.or.th/TH/Pages/PB_Detail.aspx
307, 309, and 311 of the Securities and Exchange Act B.E. 2535 (SEC Act) with Section 83 of the Penal Code. Concurrently, the SEC also filed a criminal complaint with the DSI to pursue its
defective operation was caused by (1) its insufficient process of issuer credit review and (2) its outdated list of approved securities for investment. Such inadequate operation was against the operational
the Undertakings for Collective Investment in Transferable Securities (UCITS) directives set by the European Economic Committee (EEC), the SEC shall consider that their requirements on investor
(AFTC) regarding the preparation for such products launch;2. High net worth investors should be allowed to invest in securities of higher risk levels. This will not only help increase investment volume
markets integration, recently set out under the joint effort of ASEAN securities regulators, the AIMC would have its members informed of the new business opportunities and intensified competition which they
information and acquiring assets of victims by claiming that they were agents of a securities companies which was not true, (2) building corporate image by using name similar to a bank?s initial which in fact
lead to offences comparable to those of the Securities and Exchange Act. For instance, dissemination or disclosure of false information, insider trading, front running, market manipulation. The same