on 23 May 2019. SEC Secretary-General Ruenvadee Suwanmongkol said: “The signing of these bilateral MOUs is our proactive approach toward better efficiency of the enforcement procedure to prevent and
Determination of Form and Procedure of Application and Form of License for Undertaking Securities Business Pursuant to the Ministerial Regulation Concerning Granting of Approval for Undertaking
shareholder suits index If a shareholder intends to bring an action against the company or the board of directors, the shareholder shall comply with the Civil Procedure Code, which prescribes the procedures for
stakeholders, the SEC implements the following procedure: · To assess the importance of matters to be under preventive regulations without which the reliability or efficiency of the capital market
On 19 September 2023, Mrs. Pornanong Budsaratragoon officially commenced her role as Secretary-General of the Office of the Securities and Exchange Commission (SEC). The management and staff extended
Asymmetry (con’t) • Theoretical prediction about the role of individual stocks’ return history – Saar (2001) argues that the longer the run of price appreciation a stock experiences, the lower the buy-sell
and test check with various source documents. I. Financial Relationship II. Business Relationship III. Employment Relationship and Governance Role IV. Employment with Firm V. Long Association VI. Fees
Handling Procedure Samples of Documents or Evidence Matters under Supervision of Other Laws Whistleblower Inquiries Complaint Forms Complaints / Whistleblowers Matters under the SEC