, transfer or exchange of securities that would result in Thai investors gaining more possessions of NVDR; (2) In the case where a local securities company has a foreign securities company as a client, the
purchase, transfer or exchange of securities that would result in Thai investors gaining more possessions of NVDR; (2) In the case where a local securities company has a foreign securities company as a
costs on the existing platforms, for example, crowdfunding.?In promoting effective supervision, the SEC continues to focus on three areas, namely (1) regulatory discipline, (2) self-discipline of
) regulatory discipline, (2) self-discipline of companies and executives, and (3) market force. In so doing, the SEC is cooperating with agencies and organizations, both public and private, to strengthen
sending in line application. The banking and financial sector will be affected directly. Self-adjustment must be made and new forms of business must be found to cope with this likely trend as it could
, brings about different outcomes, and can be applied on different levels. The supervisory mechanism covers three areas, i.e., self-discipline, market discipline and regulatory discipline. To create
. 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
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
with regulating auditors around the globe, and a member of ASEAN Audit Regulators Group (“AARG”). Memberships of both IFIAR and AARG facilitate the promotion of international cooperation and enable the