The Securities and Exchange Commission (SEC), in collaboration with the Ministry of Digital Economy and Society, the Anti-Money Laundering Office, and key capital market alliances, has launched an "Anti-scam Hotline” scheme to provide direct channels for reporting investment scams at tel. 1207 ext. 22, or via SEC website at www.sec.or.th/scamalert, or email at scamalert@sec.or.th. The SEC has expedited the process of verifying suspicious scam reports and promptly notify relevant authorities to...
underpin sound eco- nomic growth and help reduce risks. Topics the Roundtable will examine in the future include: board nomination and election, shareholder engagement, and effective enforcement to encourage
the Stock Exchange of Thailand (SET), who acts as a front-line regulator responsible for real time surveillance and monitoring of all securities trading. Previously, the SET had primarily concluded that
the credit rating process CRAs should endeavour to issue opinions that help reduce the asymmetry of information among borrowers, lenders and other market participants; Independence and conflicts of
information recording system with respect to derivatives trading, especially pre-trade information and post-trade information in order to support monitoring and examination after derivatives trading (audit
financial frauds and scams, in new and old forms, is also essential. Insightful investment knowledge will help investors take precautions and protect themselves from falling victim to those fraudsters and
fair, efficient and transparent; and the reduction of systemic risk.3 Quality and integrity of the credit rating process CRAs should endeavour to issue opinions that help reduce the asymmetry of
surveillance system that was not circumspect enough to warn Bitkub to immediately realize a transaction that might be a price manipulation. DAB Act S.30 Settlement Committee Meeting No. 7/2021 Settlement
all 5 steps Pre-Listing & Listing Trade Surveillance Ongoing Obligations Escalation to Public Delisting1 2 3 4 5 Revise qualifications of companies to be listed on SET and mai Require consistent
committed an offense as https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8259 documentation.doc matters relative to independence confirmations, performance evaluations, results of monitoring, client