development of regulatory frameworks in Thailand. Capital Market Sector Thailand's capital market is assessed based on the International Organization of Securities Commission (IOSCO) Principles, which aim to
development of regulatory frameworks in Thailand. Capital Market Sector Thailand's capital market is assessed based on the International Organization of Securities Commission (IOSCO) Principles, which aim to
organizational structure comprises three tiers of authority, namely: 1. The SEC Board responsible for policy-level regulations and oversight of market development; 2. The Capital Market Supervisory Board
relations. The SFC is the principal regulator of the securities and futures market in Hong Kong and the primary authority for regulating retail funds offered to the public in Hong Kong. The role of the SFC is
achieve the national missions within the scope of assigned authority and under the related laws. Our Roles How We Regulate SEC Working Principles Our Policies Signatory of Investment Government Code (I
,? she added.? In any case, the SEC rulemaking on intermediaries? work systems emphasizes more on principles based approach and minimum requirements to better respond to business models and risk profiles
loss due to price volatility, cybersecurity risk, risk on personal data leakage, and exploitation as a money laundering tool. The SEC Board has therefore considered exercising authority within the scope
activities, yet the scope of SEC authority not covering risks and guarantees for losses from investment, nor compensations for damages incurred to investors in all cases. Other regulated regulators in the
principles or international standards. 3.2 Presribes by the Association of Asset Management Companies (AIMC) prescribes with the approval by the SEC. ( Notification of the Association of Investment Management
principles or international standards. 3.2 Presribes by the Association of Asset Management Companies (AIMC) prescribes with the approval by the SEC. ( Notification of the Association of Investment Management