possible limit of individual freedom, regulation is essential to uphold market credibility and orderliness. Yet, the regulator’s exercising of power must be prudent, fair and only as necessary to protect the
possible limit of individual freedom, regulation is essential to uphold market credibility and orderliness. Yet, the regulator’s exercising of power must be prudent, fair and only as necessary to protect the
the mutual fund may contravene the government policy relating to the capital market. (3) The management of the mutual fund may have an impact upon the credibility of the Thai capital market. (4) The
the mutual fund may contravene the government policy relating to the capital market. (3) The management of the mutual fund may have an impact upon the credibility of the Thai capital market. (4) The
Governance As an agency with missions for promoting, developing and supervising the capital market, the SEC strives to ensure transparency and credibility of our own operation as well as fairness to all
or omits to act in order to obtain unlawful gains.) Section 312 (Director or manager permits another to commit dishonest act in the account or document) and; Section 313 (Increasing penalties for
or omits to act in order to obtain unlawful gains.) Section 312 (Director or manager permits another to commit dishonest act in the account or document) and; Section 313 (Increasing penalties for
market will be developed towards greater efficiency, trustworthiness, gaining recognition and interests from investors and parties wishing to raise fund at an international level. Participating in
trustworthiness in regard of undertaking such securities businesses; "major shareholder" means any person directly or indirectly holds shares of securities company exceeding ten percent of voting shares of such
companies; Ensuring fair treatment to shareholders of a takeover target company; Enforcing cases of corporate fraud; Supervising business operators to take care of investors with fair and reliability