achieve three core objectives of securities regulations: (1) protecting investors, (2) ensuring that markets are fair, efficient and transparent, and (3) reducing systemic risks. IOSCO Principles comprise

Market Supervisory Board No. Tor Thor. 30/2559 Re: Rules for Operation of Derivatives Exchange By virtue of Section 55 and Section 73 of the Derivatives Act B.E. 2546 (2003), the Capital Market Supervisory

follows: Protection of shareholders' right and fair treatment of shareholders Transparent and fair shareholding structure; Directors, executives and major shareholders do not have conflict of interests or

Repeal of the Notifications related to Operation of Securities Business and Derivatives Business by Securities Company and Derivatives Intermediary

The Repeal of Notifications related to Operation of Securities Clearing House, Central Securities Depository, Derivatives Exchange and Derivatives Clearing House

that the purchase, sale, or exchange of digital assets are fair, transparent and accountable, and to establish mechanisms for maintaining the stability of the national financial system and macroeconomy

officer who performs such duty should be independent from other functions having a clear procedure and timeframe for reporting the findings directly to the board of directors of the

responsibilities of high-level management Chapter 2 Availability of competent personnel Chapter 3 Fund management operation system 3.1 Accepting of purchase or redemption orders of investment units 3.2 Investment

© 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

operation to further the sustainable development of the Thai capital market and the country at large. On 14 August 2019, the SEC and 12 organizations in the capital market officially co-launched the Capital