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
the Association of Investment Management Companies among others, the seminar highlighted the principles and the processes of the law.SEC Senior Assistant Secretary-General Waratchya Srimachand said
monitoring the business operations and for a proper investment making-decision in a reasonable period of time. In addition, SEC has issued a guideline on information disclosure for listed companies
The spread of COVID-19 pandemic since March 2020 has resulted in severe volatility in debt and equity markets around the world, and consequently stimulated investment outflows from mutual funds
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, January 17, 2014 ? The SEC is seeking public comment on proposed revisions to the rules on prevention and management of conflicts of interest and proprietary trading applicable to both
Bangkok, 31 October 2017 ? The SEC has filed criminal complaints against former directors and executives of The International Engineering Public Company Limited (IEC) and their associates, totaling 25 persons, with the Department of Special Investigation (DSI) for jointly committing fraudulent acts, misappropriating the company's assets and seeking unlawful gains, which has caused damage to IEC. Their misconduct also included arranging or allowing fabrication of accounting records inconsistent w...
Since the class action law came into force in 2015, the SEC has continuously publicized the information about the law to enhance knowledge and understanding of investors and interested parties, through the SEC’s communication channels and mass media, in the forms of infographics, articles, as well as educational seminars organized in cooperation with related agencies. In carrying out investor protection mandate, education is an SEC’s crucial tool. “This seminar on class action legal proceedings...
Bangkok, 22 September 2016 ? The SEC is seeking public comments on the Investment Governance Code (I Code), which contains guidances for institutional investors to manage investment policies and