Securities and Exchange Act B.E. 2535 specifies that SET is an organization under the supervision of the SEC. The SET's Board of Directors (SET Board) consists of not more than five persons appointed by the
, goals and strategies, supervision and monitoring of the SEC's operation, and board-level evaluation The SEC Office Code of Governance specifies the following requirements: Legal compliance Independence
The MOU reaffirms mutual intention to promote and support provision of pools of knowledge for listed companies and regulated entities under the SEC supervision to enhance their awareness of the
to understand the risks of bonds and up-to-date information before their investment, as well as to make information become easier to access. Therefore, SEC has improved the supervision guideline on
administrative orders on individuals or juristic persons under the SEC's supervision, in other words, persons licensed, approved, or registered in accordance with the laws administered by the SEC. For example
-operation and the Exchange of Information (IOSCO MMoU), which helps to enhance preventive and deterrence measures of illegal practices in securities and derivatives markets. - enforcement authority and
-operation and the Exchange of Information (IOSCO MMoU), which helps to enhance preventive and deterrence measures of illegal practices in securities and derivatives markets. - enforcement authority and
Important Instructions for Completing a Complaint Form Matters under the SEC supervision 1. Matters under the SEC supervision in accordance with the governing laws. For example: · approved securities
Printable Format - Laws and Regulations Guideline on the commencement for operation of securities / derivatives business
Work System, Contact with Investors and General Business Operation of Trustees