offences in the capital market, all of which would greatly improve the chance of success in law enforcement and prevention against violations in the capital market. The workshop was held on 15 to 16
regarding digital assets from the public through war room operation. This is an integration to streamline all work processes to ensure timely legal execution and prevention of damages to people particularly
of the PF business to replace the present fixed and detailed regulations. The scope of amendment includes, for example, corporate structure, personnel readiness, fees, investment management, prevention
compliance professionals and facilitating more flexibility and compatibility with international standards as compliance unit functions for inspection and prevention of risks associated with business operators
Bangkok, January 17, 2014 ? The SEC is seeking public comment on proposed revisions to the rules on prevention and management of conflicts of interest and proprietary trading applicable to both
, underwriters must put in place an effective conflicts of interest prevention system. This aims at facilitating under the current circumstances.Meanwhile, the SEC supported investors to have adequate and ongoing
of interest prevention, internal control and risk management. The consultation papers on the regulation on REIT unit issuance and offering and seven associated rules are available on the SEC website
reference. Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 14/2558 Re: Rules in Detail on the Prevention and Management of Conflicts of Interest __________________ By virtue
reference. PAGE 10 Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 14/2558 Re: Rules in Detail on the Prevention and Management of Conflicts of Interest __________________
Prevention of Unfair https://www.sec.or.th/EN/Pages/LawandRegulations/Regulations.aspx English (United States) CivilPenalty Sanction is a recent enforcement power added by the Securities and Exchange Act (No