ตลาดหลักทรัพย์ดังกล่าว ในสัดส่วนที่มีนัยสำคัญ (substantial control) พระราชบัญญัติหลักทรัพย์และตลาดหลักทรัพย์ พ.ศ. 2535 ในเรื่องการเข้าถือหลักทรัพย์เพื่อครอบงำกิจการจะเข้ามามีบทบาทในการกำกับดูแล โดยมีหลักสำคัญ
related associations The SEC has the power to make an order for the directors or members to clarify about facts of the associations. The SEC or the officers are empowered to enter the association during the
(CMSB) has the power and duty under the Securities and Exchange Act that include issuance of rules and regulations governing the securities industry and reporting to the SEC Board. The CMSB comprises
comply with applicable law and standards. Guidelines 6.1.1 The board should be aware of and understand the nature and scope of the company’s principal and substantial risks and should approve the risk
management of the mutual fund may cause damage or unfair treatment to the investors. (5) The operation of the mutual fund is inconsistent with the approved scheme. In this connection, the SEC has the power
Seminar 2020 ตอนที่ 1 “Power of the crowd: ฝ่าวิกฤต COVID-19 ด้วยคราวด์ฟันดิง" SEC Fintech Virtual Seminar 2020 ตอนที่ 2 “พลิกโฉมธุรกิจ SME: โอกาสใหม่ในยุค COVID-19" SEC FinTech Virtual Seminar 2020 ตอนที่
trading The Ministry of Finance had the power to regulate securities trading on the Stock Exchange of Thailand (SET) by issuing regulations or approving those drafted by the SET Board of Governors
reprimand, administrative fine, restriction of business operation, business suspension and license revocation, etc. In this regard, the scope of power of the order issuers varies depending on the level of