DODD-FRANK ACT • Financial crisis revealed behemoth players in financial industry were not overseen by any regulatory authority • Dodd-Frank mandated additional SEC oversight on PE and HF firms JUNE 22
share- holders (through what is known as 'tunnelling' 3 ), or misrepresenting an individual company's financial statements (of particular concern where the company is under pressure to meet expectations
are being properly managed. As the level of public disclosure has increased in major markets, it is helpful if asset managers explain their thinking on public disclosure even when they have decided not
) Disclosure and transparency; The chapter identifies key areas of disclosure, such as the financial and operating results, company objectives, major share ownership, remuneration, related party transactions
, holding the largest market share in new business premiums. All of the above endeavors and satisfactory operating performance, together with sound corporate governance, allowed KBank and K Companies to meet
SHARE : SEC advises listed companies to exercise care and caution before investing in digital assets Monday 20 September 2021 | No. 177 / 2021 Bangkok, 20 September 2021 – The Securities and Exchange
SHARE : SEC warns the public and investors to be cautious with the services provided by unlicensed digital asset business operators Friday 15 December 2023 | No. 247 / 2023 Bangkok, 15 December 2023 – The
as mentioned above. The details of the established subsidiary company are as follows: Subsidiary Company’s Name : Gofive Company Limited Type of Business : IT Consulting, software, and managed services
Regulate About Us SHARE : Detail Content How We Regulate The SEC supervises and regulates the capital markets under following laws: The law on securities and exchange; The law governing
operating crowdfunding portals. The supervised areas include measures and implementation against conflicts of interest, member data storage, disclosure of issuer information, issuer compliance monitoring