Kong Securities & Futures Commission for mutual recognition of managed fund products. We also undertook a self-assessment for compliance with IOSCO Principles to pave the way for Thailand’s Financial

efforts in strengthening corporate governance in the industry. In the year ahead, countless different challenges are bound to arise and test our strengths, but I believe the SEC management and staff will

in accordance with international standards. One of the achievements during the year was the overall result of the Thai capital market assessment under the Financial Sector Assessment Program, a joint

advisors, sale agents of mutual funds and private funds, and marketing officers of securities brokers must posses the qualified level of education and must pass a test on fundamental knowledge of financial

futures exchange and formulate risk management tools. Moreover, closed coordination will be made with foreign regulators while Thailand will participate in the assessment project called the Report on the

matters: (1) business continuity management, as detailed in Part 1; (2) review, monitoring, and examination of computer systems relating to clearing, settlement, and depository services with respect to

Report on the Observance of Standards and Codes (ROSC) CORPORATE GOVERNANCE COUNTRY ASSESSMENT Thailand JANUARY 2013 Report on the Observance of Standards and Codes (ROSC) CORPORATE GOVERNANCE

record, affiliation, job positions, work experience, test/training records, certification numbers of locally certified public accountants/international certified public accountants, prohibited

/Assessment/ROSC_Thailand_web.pdf Principles of Corporate Governance - G20 version effective redress for violation of their rights. Equity investors have certain property rights. For example, an equity share in

/Documents/Assessment/49801431.pdf 7025se.pdf the deposit and demonstrate that such deposit by the securities clearing house is for the purpose of complying with Section 223/3. (3) In the case of other asset