. [ Goal 1 ]25 . . . . . . . . Empower Investors 2 Apart from being equipped with the necessary knowledge of investment for investors to effectively defend and protect their rights, it is necessary to ensure
corporate social responsibility. The implementation is categorized accordingly: ë Risk Management To safeguard the Thai capital market against adverse impacts of market incidents or risks pertinent to market
to strengthen compliance Promote transparency in the initial public offering (IPO) share allocation process ● Required issuers to disclose their allocation methodology and clearly identify in the
update information systems, encourage innovation and promote the use of technology throughout the organization to effectively support and safeguard the continuity of the SEC’s operations. 6. Accountability
stakeholders. Implementation in each area is as follows: Risk Management To safeguard against adverse impacts of market incidents or risks pertinent to market viability, the SEC Board laid out a policy and
is to determine in what situations categorical rules (i.e. norms that apply uniformly, without permitting many exceptions based on “relevant facts and circum- stances”) more effectively protect
for funds they manage Nowadays, asset management companies are required to separate investors’ asset from the companies’ ones and introduce measures to protect investors’ assets for other benefits
possible limit of individual freedom, regulation is essential to uphold market credibility and orderliness. Yet, the regulator’s exercising of power must be prudent, fair and only as necessary to protect the
with maturity of no more than 270 days ● Facilitated fund mobilization where in 2003, 28 companies mobilized 20,832 million baht through initial public offering (IPO) Develop various types of securities