Measures for preventing conflicts of interest are an important part of the SEC policy especially in the process of securities issuance and offering, which involves participation of key
Bangkok, May 24, 2016 ? The SEC is seeking stakeholders? and public comments on a proposed amendment to the rules governing prevention and control of conflicts of interest of asset management
Bangkok, October 29, 2014 ? The SEC is seeking public comment on draft regulations on prevention and management of conflicts of interest and proprietary trading applicable to business operators. The
Rules in Detail on the Protection and Management of Conflicts of Interest
, embezzlement of company assets, conflicts of interests, or window dressing. Unfair treatments related to securities trading, for instance, market manipulation, insider trading and dissemination of false
providing services to customers, the derivatives advisor shall arrange to have an agreement in writing relating to the settlement of disputes by arbitration organized by the Office as specified in the
, the derivatives advisor shall arrange to have an agreement in writing relating to the settlement of disputes by arbitration organized by the Office as specified in the notification of the Office when
taken into consideration. Said regulations shall include at least the following matters: (1) policies on prevention and handling of conflicts of interest; (2) adequate measures to prevent directors
procedures as specified in the Notification of the Capital Market Supervisory Board by failing to supervise transactions that are considered conflicts of interest by investing in two of IPO securities for