information and make confident decisions on investment. The capital market is operated with fairness, efficiency and transparency. Systematic risks in the markets can be managed and contained within limits
compensations for damages incurred to investors in all cases. Other regulated regulators in the public and private sectors. Creating collaboration among all agencies in terms of concerted efforts to achieve the
than the regulated entities under our own supervision. The governance framework was approved by the SEC Board on October 1, 2007. It has been reviewed periodically since then to ensure appropriateness
treatments related to securities trading, for instance, market manipulation, insider trading and dissemination of false statements. Samples of matters beyond the SEC responsibility ● Matters under supervision
dissemination of false statements), the SEC may proceed through criminal fining or criminal complaint, and will disclose such case to the public in due course; ● Complaint or tip handling time depends on the
หน่วยงานภายใตก้ ากบัดูแล (regulated entity) มอบหมาย (delegate) งานบางประเภทใหบุ้คคลท่ีสามปฏิบติัแทน ส านกังานตอ้งมีการก ากบัดูแลการ outsourcing หรือ การ delegation งานดงักล่าวอยา่งครบถว้นเพียงพอและเป็นไป