Bangkok, April 21, 2015 - The SEC suspended {A}, a securities investment consultant of RHB OSK Securities (Thailand) Plc. (RHB OSK) for taking securities trading orders from a person who is not the
SEC together with FETCO share a common view to enhance FETCO position to “The Capital Market Federation of Thailand” which would have legal status as a “juristic person” like other federations in
According to the information from the Stock Exchange of Thailand (SET) and SEC’s further investigation, it was found that from 25 July to 9 August 2017 (a total of 11 business days) Surin had been continuously trading PICO’s shares in his four securities trading accounts, that is, he submitted trading orders in a manner to drive up the share price by submitting a large number of trading orders. As a result, the price and trading volume of PICO’s shares were not in a normal market conditio...
auditor rotation, aiming to enable the audit committee to appoint an independent individual to be its auditor and promote the auditors to truly maintain their independence.
SEC will undertake proactive actions to increase the number of auditors in the capital market to be sufficient to support the growth of the Thai capital market. The structure of laws and regulations
encourage active co-operation between companies and employees. Securities regulators, stock exchanges, self-regulatory organisations and investor groups should continue to educate companies and the public
. Insider trading is prohibited and other types of self-dealing and conflicts of interest are regulated. The SEC actively monitors the market for abusive practices. Institutional investors regularly vote
. The SEC considers qualifications of securities issuers and supervises the disclosure of information in order for the investors to have sufficient information in making an investment decision
their objectives of safeguarding client benefits, enhance their trustworthiness, and maintain overall market integrity, but also reflect their self-discipline which would further reduce chances of law
whether the code of conduct is complied: 1.3.1 Monitoring and assessment by an internal audit unit or a compliance unit; 1.3.2 Self -assessment by executives and employees; 1.3.3 Assessment by independent