objectives of securities regulations identified by IOSCO: the protection of investors; ensuring that markets are fair, efficient and transparent; and the reduction of systemic risk.3 Quality and integrity of
Section 133 Securities and Exchange Act B.E. 2535 Section 133. The securities company shall manage a private fund with honesty and care to preserve the interests of the person who has authorized the
; · Thai AMC should submit the application for establishment of mutual fund via the SEC’s Online Fund Approval and Management System (OFAM) together with all the necessary documents in support of the
Section 91 Securities and Exchange Act B.E. 2535 Section 91. Where it is necessary to maintain the economic and financial stability of the country, or to protect the public interest, the Minister
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 41. The provisions of this Division shall apply to any derivatives broker licensed under Section 16. The SEC may, if necessary, promulgate
2017 > CG Code > Principle 7 Ensure Disclosure and Financial Integrity CG Thailand Overview CG and sustainable business development SEC Roles Related organizations Related persons Sustainable
market, and other necessary market mechanisms. Of course, it is crucial that we strive forward to deepen and broaden good corporate governance, transparency, and surveillance measures. Furthermore, we need
driving forces that help advancing Thai economy towards a stable and sustainable growth but to propel it forward requires considerable collaborative efforts from all stakeholders. As the integrity of