, derivatives exchange, derivatives clearing house, regulatory association of derivatives business operators and prevention of unfair derivatives trading practices. Such power and duty shall include: (1) the
and their securities which may have a material effect on the price of an Investee Company’s securities. 1.3.4 Prevention of unfair securities trading practices in violation of applicable laws and
related businesses, organizations related to securities business, issue or offer of securities for sale to the public, acquisition of securities for business takeovers, and prevention of unfair securities
) having been adjudged by the final judgment for an offence relating to unfair practice concerning securities or derivatives trading or administration amounting to deception, defraudation or corruption, or
shareholders’ rights, unfair treatment toward shareholders or disclosure of information to shareholders and general investors; (2) having any of the following characteristics within one year prior to the filing
Center The SEC provides the "SEC Help Center" to facilitate investor complaints and reports on suspicious actions of securities operators and issuers as well as unfair securities trading practices as well
Annual Report 2009 1 Annual Report 20092 Over the past year, the Thai economy experienced a recession for the first time since the Asian economic crisis in 1997. The first quarter saw a 7.1 percent contraction as a result of sluggish export in the midst of global financial crisis, diminishing demand of domestic private sector, and lack of confidence in economic and political directions. All these factors played out against a backdrop of weakening economies of our trade partners worldwide, which...
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...
to securities laws prior to court filings to strengthen legal enforcement and revise provisions on composition of offences related to unfair activities in securities trading to ensure clarity and