20T H ANNIVERSARY 1 Securities and Exchange Commission, Thailand Annual Report 2012 SEC ANNUAL REPORT 20122 THE YEAR OF CHANGE The year 2012 was the time for change to become the visionary partner whose balance between proactive and preventive approaches has led to stakeholders’ confidence in the Thai capital market. THE YEAR OF CHANGE 20T H ANNIVERSARY 1 02 MESSAGE FROM THE CHAiRMAN 04 MESSAGE FROM THE SECRETARY-GENERAl 06 SEC BOARd 09 CApiTAl MARkET SupERviSORY BOARd 12 ExECuTivE OFFiCERS 13 O...
Trading Alert • To implement an auction trading method for securities under Trading Alert, Level 2 or higher Late August 2024 Group 1: Measures for mitigating irregular volatility of securities prices 15
evaluated on a quarterly basis. 1.3 Crisis and Emergency Risks: Internal contingency plans were designed to cope with crises and emergencies such as natural disasters and any irregular incidents that may
irregular or inappropriate securities trading in order to reduce risks that may occur to the whole system. In terms of infrastructure development, all market participants have been prepared to welcome the new
our promotion of overseas investments, strengthened enforcement on insider trading, share manipulation, executive misconducts, accounting frauds, false documentation of securities issuance and offering
to strengthen compliance Promote transparency in the initial public offering (IPO) share allocation process ● Required issuers to disclose their allocation methodology and clearly identify in the
Data > Intermediaries Market Data SHARE : Detail Content Intermediaries List of Securities Businesses / Derivatives Businesses Asset Management Businesses Credit Rating Businesses
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. Seminars and conferences are other common ways to work together and share know-how. Having external individuals as representatives on sub-committees that review or formulate new regula- tions was another
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