. Market participants and stakeholders can rest assured that the SEC will move forward with all sectors to achieve the goals set forth in the strategic plan and the sustainable growth of the capital market
.............................................................................. 43 United Kingdom: Clear Policies Move the Needle on Stewardship and Engagement .................................... 45 KEY QUESTIONS TO ASK BY SECTOR Taking Investment Lessons from Socrates: Asking
mutual funds’ assets; (f) Systems for preventing conflicts of interest, and for safekeeping of confidential information of mutual funds; (g) Systems for supervising the valuation of mutual funds’ invested
; (Translation) 3 (f) Systems for preventing conflicts of interest, and for safekeeping of confidential information of mutual funds; (g) Systems for supervising the valuation of mutual funds’ invested assets in
; (Translation) 3 (f) Systems for preventing conflicts of interest, and for safekeeping of confidential information of mutual funds; (g) Systems for supervising the valuation of mutual funds’ invested assets in
market and a lead appraiser obtaining an approval from the SEC. The Institute of Appraisal Profession under the first paragraph shall be recognized by the SEC as an appropriate organization for supervising
audit, disclosure and transparency. All this supports the role of the market in supervising the operation of commercial banks (market discipline). More information and guidelines are available in The CG
Thailand (SET) by issuing regulations or approving those drafted by the SET Board of Governors, accepting listing and delisting and supervising securities businesses by approving rules issued by the Bank of
Association Associations related to securities businesses Summary of major provisions in supervising the related associations The SEC has the power to make an order for the directors or members to clarify
Auditing Mechanism and Balances SEC Code of Ethics SEC Anti-Corruption Policy The SEC values Code of Governance As an agency with missions for promoting, developing and supervising the capital market