focus on preventing, deterring and suppressing inappropriate behaviors and misconduct as well as effective enforcement in all cases, at a media briefing on 6 February 2024, at the SEC Building.More
SHARE : SEC, SET and IOD jointly host a seminar on “Preventing, Deterring and Suppressing improper behaviors of listed companies” Tuesday 26 March 2024 | No. 65 / 2024 Bangkok, 26 March 2024 – The
jointly host a seminar on “Preventing, Deterring and Suppressing improper behaviors of listed companies” SEC amends regulations on reporting changes to the securities and derivatives holding by directors
performance of personnel in the capital market. These initiatives fall under the Strong Securities Issuers Project and focus on preventing, deterring and suppressing inappropriate behaviors and misconduct. A
of building confidence in the capital market. Implementing lawsuits quickly and actually against law violators will have the effect of suppressing and deterring wrongdoing in the future. Therefore, the
, deterring many companies from becoming ones. The dispersion of authority and supervision among several agencies and under several laws causes duplication of work, a lack of coherence and continuity. Besides
: “State regulators are less effective at deterring misbehaviour than the SEC.” • “Dodd-Frank weakened oversight of mid-sized RIA.” • “…national regulators better deter financial misconduct.” Consistent with
, Deterring and Suppressing improper behaviors of listed companies” SEC updates on the Strong Securities Issuers Project and law enforcement SEC issues a risk management manual for securities companies and