, issuance and settlement of securities, and organization of shareholders? meetings, etc., (2) facilitating businesses? access to necessary information under possession of governmental agencies for the benefit
as fully legitimate as normal transactions, for example, transactions related to businesses under the SEC supervision, subscription, issuance and settlement of securities, and organization of
Investment Facilitating Issuance of Several Types of Instruments that Meets Fund Mobilization Objective and Gives Greater Investment Alternatives ● Development of Derivatives Products as an Important Tool for
the economy. “Market supervision mechanism” includes the issuance of rules and regulations, law enforcement and other supportive measures. Inevitably, each tool has its own strengths and weaknesses
....................................................................................................................... Corporate Governance Achievements ...................................................................... Divisional Reports Securities Issuance and Offering
Information Technology for the Benefits of the Capital Market Promoting the Issuance of a Variety of Financial Instruments so that They can Serve the Fund-Raising Need of Businesses and at the Same Time Provide
cooperated with the Association of Securities Companies in its issuance of the code of conduct on relationship with clients. Brokers must closely monitor clients’ trades and ensure the quality of advice given
our promotion of overseas investments, strengthened enforcement on insider trading, share manipulation, executive misconducts, accounting frauds, false documentation of securities issuance and offering
SEC’s income is derived from the application fees for the issuance and offering of securities, license and business undertaking fees, annual contribution from the Stock Exchange of Thailand. To ensure