SEC had proposed, in principle, to amend the definition of major shareholder of the securities companies which at present is determined based on the “number of voting shares” to the “number of
consideration that {A} failed to perform his duties responsibly with professional due care when he accepted the investor’s assignment to make trading decisions for the investor. Consequently, {A} was deemed to
misconduct above – taking the investor’s assignment to make decisions on trading of securities and derivatives and fabricating that certain derivatives trading orders were sent by the investor – was deemed
association and the directors of TIA’s Shareholder Rights Protection Volunteer Club, and discussed the ways to enhance shareholder and investor rights protection in response to the changes in capital market
assignment to make investment decisions for the investor.Following a client complaint, the SEC made further investigation and found that during September 2017 - February 2018, {A}, then working for Asia Wealth
Minority Shareholder. “During the course of assessment, the SEC proactively participated in the revision and promotion of various measures to enhance minority investor protection, resulting in the
to make a comparison of home and Thai laws on shareholder protection, in materiality. In case where the comparison is not feasible, the companies must provide additional shareholder protection measures
shareholder?s meeting; for instance, proper characteristics of directors, dividend paid from loan and suspicious transactions. While company with good governance adds shareholder value, stronger roles of
Thailand (SET), the SEC?s further investigation has revealed that during 28 August 2012 ? 30 October 2012, TIP?s executive, major shareholder and related persons used nonpublic information that would affect
บริหารจากหน่วยงานที่เกี่ยวข้องกับตัวชี้วัดทั้ง 10 ด้าน ร่วมรายงาน โดยตัวชี้วัดด้านการคุ้มครองผู้ลงทุนเสียงข้างน้อย (Protecting Minority Shareholder) ซึ่ง ก.ล.ต. มีบทบาทในการชี้แจงและแสดงหลักฐานเชิง