services to an indirect client (tiered participant) who is a juristic person, securities clearing houses and central securities depositories shall also supervise and monitor potential risks of these members
holding or non-holding company, is required to disclose material information in the following matters: (1) Monitoring system for the board of directors to oversee the management and operation of the
on non-compliance with its rules; (4 ) rules concerning the listing of securities, the maintenance of status as listed securities, the delisting of listed securities, and the disclosure and corporate
companies’ financial statements and supervise the work of auditors. In so doing, the SEC regularly arranged internal training sessions on financial reporting standards and auditing standards. In the same way
, as well as to supervise, matters concerning securities, securities businesses, the Securities Exchange, over-the-counter centers, and related businesses, organizations related to securities business
have the power and duty to formulate policies to promote and develop, as well as to supervise, matters concerning securities, securities businesses, the Securities Exchange, over-the-counter centers, and
to the Securities and Exchange Act was proposed to end the monopoly status of the SET and to allow other non-member market participants to have direct access to the Exchange. The draft amendment is
relevant entities while preserving market fairness and transparency. The Securities and Exchange Commission, Thailand is an independent government agency established to supervise and develop the Thai capital
Supervising the capital market Strengthening confidence and trust Ensuring fairness, transparency and integrity 20T H ANNIVERSARY 15 As a public body with the duty to promote, develop, and supervise the capital
came from both an increase of Baht 468 million, or 2.93 percent in non-interest income, which was derived mainly from revenue from capital market products and rising net fees and service income, and an