retail investor education and financial literacy, and to advise the IOSCO Board on emerging retail investor protection matters. As the Thai capital market is dominated by retail investors, the SEC has
issuer เปน บริษัทที่จดทะเบียนในตลาดหลักทรัพยฯ (“บจ.”) ควรกำหนดใหสามารถใชกลไก check & balance และมาตรการปองกัน และจัดการ conflict of interest : COI ท่ีมีอยูแลว มาปรับใชตามหลักเกณฑน้ีได โดยเพ่ิมการ
- present Securities and Exchange Commission, in various position and roles including securities offering, mergers and acquisition, corporate governance, enforcement, legal, investor education, internal
-committee appointment; Board Policies , for instance, code of ethics, conflicts of interest and equitable treatment of stakeholders; and Board Practices , for instance, setting of directions, policies
the list of licensed securities companies, please click SEC Check First . For the list of companies / websites liable to undertaking securities business without license, please click Investor Alert
, the highly active market in 1987 drew in short-term speculation that led to unfair market practice amidst inefficient investor protection. To address the aforesaid issues, the Securities and Exchange
a failure to perform duties with responsibility, due care and loyalty for the best interest of the company, which causes damage to the company or creates benefits for oneself or others. In this regard
abreast of developments and emerging risks, conflicts of interest management in capital market, auditor's independence, auditing standards, credit rating agencies, sell-side analysts, and hedge fund. - The