required to set up an efficient complaint handling system in support of daily operation. Concurrently, the SEC employs a risk based approach to scheduled and/or random inspection as well as case-by-case

As part of continuing efforts to support market confidence and business integrity, the OECD has launched in Asia a new set of corporate governance principles that were endorsed at the G20 Finance

Mekong region.  It reflected the shared visions and regional support toward the SEC Thailand?s initiatives in building a network for Mekong capital markets cooperation.  I am confident that with active

and enhance competitive edge of the private sector. We are also very pleased to support the right protection volunteers in performing their duties at AGMs; one of the principles of good corporate

make more use of comparative information and make informed investment decisions. The voluntary rating would increase visibility of Thai and regional products and thus support the upcoming integration of

support illegal activities. If any violations are found, the SEC will take legal action accordingly. The public and investors are strongly advised to exercise caution when using services from unlicensed

notification of the SEC Office. Chapter 3 Operation --------------------------------------- Division 1 Contacting, Soliciting, or Giving Advice for Customer and Performance of Duties as Professional

other law from such acceptance of selling orders or closing out of positions. Chapter 3 Engagement in Agreements with Clients prior to Providing Services ________________________ Division 1 General

an approval [for establishment] from the Securities and Exchange Commission. 2 The law on financial institution business means the Financial Institution Business Act B.E. 2531 (2007). 4 Division 1

1212 The details of the particulars under Clause 11 shall comply with the following rules: (1) an offer for sale of securitized bonds in any case shall be according to the Forms specified in Division 1