SHARE : Detail Content Investors' Rights The law prescribes rights for investors so that they are treated with fairness, not fall prey to fraudulence schemes, and not exploited by any parties. The
as a listed-company director with responsibility, prudence, honesty and integrity. As a result, the Civil Penalty Consideration Committee ordered Mr. A to pay a civil fine and compensate the SEC for
operators. The revised regulations require the said licensees appoint independent directors to perform their duties with honesty and trustworthiness for customer interest and thus aim to ensure efficient
integrity and honesty; (2) Perform duties by using knowledge and expertise as professional and treat all investors with fairness, care, prudence and in the best interest of investors. (3) Disclose or provide
is to promote fairness and equality for all investors. Secondary public offering (SPO) of listed companies would also follow this general cornerstone approach. In addition, the SEC is proposing the
measures for protecting shareholders and investors.“Supervision of securities trading activities to ensure market orderliness and fairness is one of the measures for protecting the interests of shareholders
fairness for all investors, and reduce the possibility of systemic risk and stability risk of mutual funds. The consultation paper on the principles and proposed regulations related to
transparency and fairness. Whistleblower Handling Tel : 0-2033-9999 or e-mail : whistle@sec.or.th Complaint Against SEC (form) Complaint / Inquiries Complaints / Whistleblowers Inquiries
Governance As an agency with missions for promoting, developing and supervising the capital market, the SEC strives to ensure transparency and credibility of our own operation as well as fairness to all
for the same securities at the same prices. Disguising that the confirmation on security deposit was made by the client was failure to perform duties with honesty whereas trading securities and