exemption are as follows: (1) Rules that carry the material context similar to that stated in the Securities and Exchange Act B.E. 2535 or the Derivatives Act B.E. 2546 or the regulations
matter thoroughly and cautiously by taking into account both expected interest and potential risks and impacts. In addition, directors and executives of listed companies are required to perform fiduciary
B.E. 2546 (2003) prescribes that the form and terms of derivatives contracts to be traded on the derivatives exchange shall be approved in material substance by the SEC Office; therefore, by virtue of
more weight to practical rules and regulations developed from effective communication and understanding with all stakeholders. Rulemaking, however, will not be the only tool; other approaches are also
of PVD factsheet and pooled fund data report. The SEC conducted a public hearing to seek stakeholders’ comments and suggestions on this matter during the months of October and November last year
supervisor. Clause 3 The commitment shall contain at least a particular describing the material information as follows: (1) name of the mutual fund scheme; (2) details of the mutual fund scheme containing the
aspects of non-audit services under consideration and their independence evaluation such as the substance of the issues, the details of any judgments made or discussions held, any safeguards set up to
recommendations are therefore substantively developed from a shareholder perspective, while taking into account other relevant parties including company directors, professional advisors and the standard-setting
this case, the SEC?s probe found that Yongyuth and Vorapin had sold TUCC shares in such a way that taking advantage of others by using non-public information material to TUCC share price. They learnt of