business operators, unfair securities trading activities in the capital market. The SEC revenue comprises fee income, subsidies from the Stock Exchange of Thailand, investment revenue and others. All
project is expected to introduce new approach for assessing the business and investment climates from the business opening, operation to closing through the provisions of business regulatory environment of
project is expected to introduce new approach for assessing the business and investment climates from the business opening, operation to closing through the provisions of business regulatory environment of
supervision under the authority of multiple agencies as seen in the following areas: Securities trading The Ministry of Finance had the power to regulate securities trading on the Stock Exchange of
incorrect disclosure of information; Stock loss from a trading account, failure of investment consultants / investment analysts / unit sellers to give information or advice on the invested products or
ประเมินกฎเกณฑ์ที่เกี่ยวกับความขัดแย้งทางผลประโยชน์) วัดประสิทธิภาพของ กฎหมายในการให้ความคุ้มครองผู้ถือหุ้นจากการเข้าทำธุรกรรมที่ขัดแย้งทางผลประโยชน์ของกรรมการ ตลอดจน การอำนวยความสะดวกผู้ถือหุ้นในการฟ้องร้อง
Market As stakeholders in the capital markets are diverse, the SEC strives to create conducive environment for all stakeholders to benefits from the capital market with confidence. The major groups of
prohibits any employing securities firm or issuer from treating its employees unfairly by such means as change of position, type of work or work location. Whistleblowers shall be treated fairly and protected
employer of the unit seller such as commercial bank. ● Details of the behavior causing the complaint. ● Documents relating to settlement / cash deposit to or withdrawal from a trading account, for instance
; and the SEC Office executing the supervisory policy to ensure compliance with and enforcement of the rules and regulations. To enable stakeholders to realize what they can expect from the work of the