Regulatory Authority (ACRA), and Thailand's Securities and Exchange Commission. The progress towards this goal will be monitored and measured at a national level by the respective AARG members on an ongoing
National Economic and Social Development Plan No. 13 and the policies and directions for the new Thai Capital Market Development Plan. In the process of establishing the Strategic Plan, the SEC monitored and
accounts regularly to prevent other persons from using the accounts to trade securities without the investors’ authorization. Besides, transaction conformation documents must always be monitored to make sure
governance are regularly reviewed, monitored, and given attention to by Thai listed companies. However, it is anticipated that the ACGS criteria will be amended in 2022 to reflect the most recent G20/OECD
SEC’s consideration of approval. SEC Oversight of Securities Short Selling (Published on 17 November 2023 (Thai version)) The SEC has continuously monitored the SET’s operations, including the possibility
ethics and professional standards. In this regards, the compliance officer and compliance unit shall be independent from other units: (b) determine the annual inspection plan which is approved by the board
, code of ethics and professional standards. In this regards, the compliance officer and compliance unit shall be independent from other units: (b) determine the annual inspection plan which is approved by
related work to be in accordance with laws, code of ethics and professional standards. In this regards, the compliance officer and compliance unit shall be independent from other units: (b) determine the
ethics and due diligence guidelines on securities issuers applying for public offering. To strengthen enforcement efficiency, the SEC furthered its support for legislation of civil penalty and class action
SECURITIES AND EXCHANGE COMMISSION, THAILAND ANNUAL REPORT 2014ANNUAL REPORT 2014 CONTACT INFORMATION This report can be downloaded from www.sec.or.th For more information about this report, please contact: SECURITIES AND EXCHANGE COMMISSION, THAILAND 333/3 Vibhavadi-Rangsit Road, Chomphon, Chatuchak, Bangkok, Thailand 10900 Tel. 1207 or +66 2695 9999 e-mail: info@sec.or.th This 2014 Annual Report is about policies, strategies and performance of the SEC. We aim to supervise and develop the Thai...