under the promulgation of the Securities and Exchange Act B.E. 2535 with its mission to: çDevelop and Supervise the Thai Capital Market to Ensure Efficiency, Fairness, Transparency and Integrityé The
services to an indirect client (tiered participant) who is a juristic person, securities clearing houses and central securities depositories shall also supervise and monitor potential risks of these members
The SEC is proposing to amend the regulation on filing the application for establishment and management of mutual funds by allowing electronic submission of all required documents through the Online
being an organization that seek to supervise and develop the Thai capital market towards efficiency, fairness, transparency, and integrity. ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ [ Message from the Secretary
. 2535 (1992) (SEC Act). Pursuant to the SEC Act, the SEC is empowered to supervise and develop the primary and secondary markets of the country’s capital market system as well as securities-related
filing of mutual funds The SEC is proposing to amend the regulation on filing the application for establishment and management of mutual funds by allowing electronic submission of all required documents
. Asset management companies also appoint custodians approved by SEC to safely keep the assets of investors.However, SEC intends to amend the regulations to give permission for asset management companies
. The attendance list is shown on page 14. Policy and Implementation 1. Corporate Governance Policy Established upon the enactment of the SEC Act, the SEC has the duty to promote, develop and supervise
the necessary resources and experienced personnel in order to be able to supervise the operations of the delegated persons, and to formulate the policy in the delegation of other persons to operate a
footprints and impacts on climate change and enhance competitiveness of the Thai capital market through business sustainability. The SEC is proposing to amend the regulation on filing the application for