-to-day responsibility for carrying them out. 12.3 Collaboration Where an investment institution is not of sufficient scale to have governance structures or internal resources to deliver effective

SEC has a responsibility for the supervision and development of the Thai capital market so as to ensure that it is effective, transparent, and reliable and is accessible by every sector of capital

, underwriters must put in place an effective conflicts of interest prevention system. This aims at facilitating under the current circumstances.Meanwhile, the SEC supported investors to have adequate and ongoing

any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. Notification of the Office of the Securities and Exchange Commission No. SorShor. 39

.​   Our Roles How We Regulate https://www.sec.or.th/EN/Pages/AboutUs/OrganizationStructure.aspx English (United States) Working Principles , executives and staff covers the following areas: Accountability

responsible business behavior and climate accountability. All stakeholders in the capital market, both listed companies and financial intermediaries such as securities companies and asset management

Notification of the Office of the Securities and Exchange Commission No. Sor Jor. 41/2553 Re: Granting of Approval of Financial Advisors and Their Scope of Work (No. 2) dated 6 October 2010 (effective on 16

original Thai text has legal force and that this English translation is strictly for reference. The SEC, Thailand can neither undertake any responsibility for its accuracy nor be held liable for any loss or

Thai text has legal force and that this English translation is strictly for reference. The SEC, Thailand can neither undertake any responsibility for its accuracy nor be held liable for any loss or

. The SEC, Thailand can neither undertake any responsibility for its accuracy nor be held liable for any loss or damages arising from or related to its use. ---------------------- Notification of the