enforcement action taken. 6 Statement of Intent (2017) (4) Ensure effective management, monitoring and evaluation, including risk and budgeting management, internal control, adequate financial resources
and collaboration with several agencies such as the SET, the Thai Institute of Directors (IOD), the Thai Listed Company Association, and the Thai Investors Association. 3. Enforcement Illegal
and collaboration with several agencies such as the SET, the Thai Institute of Directors (IOD), the Thai Listed Company Association, and the Thai Investors Association. 3. Enforcement Illegal
cooperated with the Association of Securities Companies in its issuance of the code of conduct on relationship with clients. Brokers must closely monitor clients’ trades and ensure the quality of advice given
training and be registered with the SEC and the remodeling of the role of the Shareholders Association. In this year, the SEC has also sought to enforce all its rules and regulations with vigor and fairness
Statistical Highlights Audit Committee Statement Report on Internal Control over Financial Statements Financial Statements Appellate Committee Arbitrators Sub-committees 2 3 4 6 8 11 21 27 30 34 41 50 58 70 76
), which is presented as a separate annex. What is corporate governance? Corporate governance refers to the structures and processes for the direction and control of companies. Corporate governance concerns
companies and to strengthen the clearing and settlement system, which are extremely important to the capital marketûs integrity. In this regard, the SEC will cooperate with the Association of the Securities
guidelines cover the key areas of risk management, internal control, code of conduct, conflicts-of-interest management, handling of complaints against the SEC's staff, communication with stakeholders and
enhancement in a number of markets. Large listed companies have sought to enhance their corporate governance as a means of both improving control mechanisms and better managing risks, and last but not least, to