supervising securities businesses; 3. The SEC Office implementing policies, inspecting licensed/approved corporations and individuals, and developing financial products. Meanwhile, the Audit Committee
Institutional Investors should: Principle 1: Adopt a Clear Written Investment Governance Policy. Principle 2: Properly Prevent and Manage Conflicts of Interest and Prioritise Advancing the Best Interest of
market currently operated by Finnet Innovation Network Co., Ltd. The outsourcing should be justifiably arranged and not becoming an empty box (without business operations). The intermediaries are
our intentions and commitments to appropriately responds to the needs of the public and stakeholders in supervising and developing a sustainable capital market, and to efficiently and effectively
Governance As an agency with missions for promoting, developing and supervising the capital market, the SEC strives to ensure transparency and credibility of our own operation as well as fairness to all
เป็นการไม่ประกอบธุรกิจ (empty box) โดยผู้ประกอบธุรกิจต้องกำกับดูแลผู้ให้บริการอย่างมีประสิทธิภาพ (ยกเว้นงานกลุ่ม 2) การแต่งตั้งที่ปรึกษาทางการลงทุน (Investment Advisor: IA ) ตามมาตรา 100 * ใช้
Techamontrikul Member Subcommittee on Governance and Remuneration (Office term of two years ) The Subcommittee has a duty to propose policies and workplans for developing organizational governance, as well as
duties with efficiency, fairness and transparency; focuses on promoting and developing the operation of the securities businesses. At present, three associations related to the securities business are as
from around the world and is balanced between developed and developing countries. They recognize sustainability as part of a collective responsibility and support approaches to anticipate and prevent