used in legal proceeding in case of violation. Whistleblower protection ● Any employee or worker who provides information or cooperation by giving a tip, testifying or submitting useful documents for
About Us SHARE : Detail Content International Relations The SEC has worked closely and continued to strengthen its cooperation with foreign securities regulators and relevant agencies to ensure
SEC received Broadly Implemented for Principle relating to auditor's oversight. (2) Principles with significant improvements: 11 Principles - staff professionalism and independence - cooperation with
, accepting listing and delisting and supervising securities businesses by approving rules issued by the Bank of Thailand, issuing and revoking licenses for securities business undertaking. Meanwhile, the Bank
procedures set out by the AIMC. (4) In the case of transferring units among the RMFs, the mutual fund management companies must complete the transactions within five business days from the date of accepting
เศรษฐกิจและการพัฒนา (Organization for Economic Cooperation and Development) หรือที่เรียกว่า OECD Principles ซึ่งประกอบด้วย 6 หมวด ได้แก่ การบังคับใช้กฎหมายและกรอบการดำเนินการด้านบรรษัทภิบาล สิทธิของผู้ถือ
reputations, divided into two areas as follows: Staff Code of Ethics consists of guidelines for handling conflicts of interest, for example, prohibiting staff from trading stocks or accepting assets or
investors for their investment decisions. In additions, the investment consultants/investment planners shall ensure that the potential clients are informed of the action taken before accepting purchasing