Surveillance du Secteur Financier (CSSF) หน่วยงานกำกับดูแลตลาดการเงินของราชรัฐลักเซมเบิร์ก ซึ่งสำนักงาน ก.ล.ต. และ CSSF มีความร่วมมือในการแลกเปลี่ยนข้อมูลด้านการกำกับดูแลบริษัทจัดการกองทุนรวมและกองทุนรวมมา

Board meetings based upon good governance principles. This includes the monitoring of actions taken according to Board resolutions and orders. Notes: * It is customary for the Minister of Finance, as the

ทีเ่กีย่วขอ้ง SEC Open data services E-enforcement • Corporate surveillance system - ความสมัพนัธบ์คุคล / นติบิคุคล - Fraud • AI-enforcement - พฤตกิรรมสรา้งราคา - พฤตกิรรมผดิปกติ • Off-site monitoring: - ผปก

compliance with proper standards of practices and ethical code of conduct ● Developed law or system to enhance investorsû rights and protection such as trust law, class action, and arbitration procedure

collaboration of audit firm leaders, auditors and personnel. Nevertheless, some audit firms have yet to remove deficiencies in engagement performance and monitoring while they are revising their audit manual and

illiquidity stock characteristics in emerging market, the Stock Exchange of Thailand. The period to choose sample data are developed from the bootstrapping technique. The list of listed companies is ranked from

efficient and effective monitoring process. Along the same line, the inspection results of individual engagements showed promising improvement of audit quality in the capital market, as reflected in the

) High Frequency Trading (HFT) Regulatory Framework Source: Mordor Intelligence The proportion of algorithmic trading in developed markets US 70-80% (2016) Japan 70% (2019) UK 60-73% (2009) Germany 52

] Legal Group • responsible for providing legal advice on rulemaking and keeping up to date with legal developments. Enforcement Group • responsible for monitoring and investigating unfair securities

Assessment: The Detailed Country Assessment of the OECD Principles of Corporate Governance is summarized in the tables at the end of the report. The assessment is based on a methodology developed with the OECD