the sufficiency and appropriateness of these mechanisms are assessed annually must be put in place. SEC has published a hearing document on the above matter on SEC website, available at
financial instruments and put in place effective regulations to ensure compliance, fairness, and prevent exploitation of stakeholders. As the market became more developed, new products were introduced and
in big volumes. Such trading manipulation took place during 10-27 September 2013, causing YCI price and trading volume to be inconsistent with the normal market condition. The wrongdoing was assisted
be required to perform additional duties, for example, putting in place a system to inform the clients within a specified period in the case that the loss exceeds the specified amount, etc. SEC has
an exception for appropriate and efficient mechanisms to prevent a conflict of interest in place, annual financial statements approved by an auditor, and maintenance of capital reserves in accordance
notification requires the business operators to comply with the policy, measures, and practice guideline for the delegation of other persons to operate a business on their behalf, for example, putting in place
Government Housing Bank and (13) Krungthai Bank Plc. The MOU signing ceremony took place at the Teachers’ Council of Thailand, the Ministry of Education, on 6 January 2023. Through the integrated
Ms. Ruenvadee Suwanmongkol, SEC Secretary-General, said: “As cybersecurity attacks can take place at any moment, coming from those using loopholes in technology for the attacks, corporate executives
already been put in place to handle situations that may affect business operation and to reaffirm readiness of the stock exchange, the debt market and the derivatives market, including the clearing and
conditions must be put in place. “This regulatory amendment will open up opportunities for interested entities to set up and manage a high yield bond more flexibly within a permissible scope. Once