-functioning capital markets, the SEC places considerable emphasis on ensuring the transparency, fairness and integrity of the Thai capital market. Implementation took on many levels, ranging from regulatory
Rules and Appropriate Investment Advisory (3) Knowledge on complex and non-complex capital market products e.g. derivatives, debt securities, and high-risk or complicated mutual funds (4) Investment
effective cybersecurity plans. SEC Secretary-General Rapee Sucharitakul said: ?Cyber threats are evolving very fast and becoming more complicated. Preventive measures alone may not be enough. It is therefore
capital market are complicated and finding the evidence is difficult, especially electronic evidence which requires assistance from specialized agencies. Therefore, this cooperation between SEC and the
corporate bond business that is usually subject to high costs and time-consuming, complicated processes. The DLT platform can reduce costs and increase efficiency, transparency and competitiveness of
) Reducing debt securities notifications to ensure less complicated rules and more convenience for stakeholders; (2) Reviewing regulations to be up-to-date and consistent with other regulations on other types
extended to 7 business days as from receiving complete information to reflect need to work on more detailed and complicated information. The consultation paper is available on www.sec.or.th. Stakeholders and
cover ensuring market orderliness, improving securities laws to be on par with international standards, enhancing effective enforcement, increasing transparency, and promoting investment innovations. In
© OECD 2015 5 I) Ensuring the basis for an effective corporate governance framework; The chapter emphasizes the role of corporate governance framework in promoting transparent and fair markets, and the
. For example, data storage system, management system and custody of client assets. This is to promote flexibility in business operation while ensuring that supervisory guidelines are appropriate and