deemed committing an offence. Moreover, the SEC has obligation to maintain confidentiality of the acquired information in the same manner as other information acquired from performing its duties and is
approval for the imposition of civil sanction, the Civil Sanction Committee has the duty to consider and determine an appropriate civil sanction to be imposed on the offender. There are five types of civil
Stock Exchange of Thailand. An FA is obligated to ensure that the companies disclose thorough, accurate and sufficient information for investors in making decisions. An FA is required to provide opinions
majority shareholders) have personal interests (both directly and indirectly) that may be in conflict with the company's interests which results in such persons' failure to make a decision or to perform
Companies Report Forms Outsourcing Activities Appointment of an Investment Advisor (IA) according to Section 100 Securities Business Derivatives Business 1. Securities brokerage 1
injured person claims compensation from a person who, willfully or negligently, unlawfully acts and causes damage. Insider Trading, Market Manipulation, and Fraud or Failure to perform duties (Fiduciary
on Ease of Doing Business by World Bank SHARE : Detail Content T he World Bank discontinued the Doing Business Report in September 2021 and is in the process of establishing an alternative indicator to