involving with complicated transactions, audit works need competent audit teams under quality assurance system. To lift up confidence in the Thai capital market, audit firms should place priorities on
signs MOU with Central Institute of Forensic Science to increase efficiency in testing evidence of offenses in the capital market. capital market are complicated and finding the evidence is difficult
Annual Report 2010 ANN UAL REPORT 2010 SECURITIES AND EXCHANGE COMMISSION, THAILAND ASEAN ECONOMIC COM MUN ITY Vision S = Setting High Standard E = Ethical C = Committed Pro = Professional Mission Core value: SEC-Pro The SEC develops and supervises the Thai capital market to ensure efficiency, fairness, transparency and integrity. The SEC is to establish the Thai capital market as an important alternative for investors and fund raisers with an efficient mechanism for investor empowerment and, in...
Regulations on Providing Services of Derivatives Agent ______________________ Clause 13 For the purpose of preventing and ceasing unfair acts or improper investments or transactions, an intermediary shall
Services to Clients of Securities Companies and Derivatives Intermediaries (No. 5) dated 12 February 2019 (effective on 16 March 2019). 8 Clause 13 For the purpose of preventing and ceasing unfair acts or
Services to Clients of Securities Companies and Derivatives Intermediaries (No. 5) dated 12 February 2019 (effective on 16 March 2019). 8 Clause 13 For the purpose of preventing and ceasing unfair acts or
securities for business take-overs, and prevention of unfair securities trading practices. Such power shall include: (1) the issuance of rules, regulation, notifications, orders, or directions under this Act
securities for business take-overs, and prevention of unfair securities trading practices. Such power shall include: (1) the issuance of rules, regulation, notifications, orders, or directions under this Act
later disclosed to the public in the evening of February 28, 2014.The use of inside information to trade securities to gain unfair benefits over other investors is in violation of Section 241 of the
to abide by the Securities and Exchange Act, B.E. 2535 (1992) and the Derivatives Act, B.E. 2546 (2003). They must not have behavior for unfair trade. Examples are analyses with distorted