intermediary, the SEC needs to disclose relevant information to the persons involved and for the intermediary to clarify or take a necessary action; ● Any complaint whose main issue is under supervision of any
establishment, market development had concentrated more on the secondary market where trading of transferable securities was the main activity than the budding primary market where businesses issued securities
37 Principles, which can be mainly separated into two main groups: principles for regulator and principles relating to market participants. The assessment grades are divided into four categories: (1
Handling Procedure Samples of Documents or Evidence Matters under Supervision of Other Laws Whistleblower Inquiries Complaint Forms Complaints / Whistleblowers Matters under the SEC
/ Inquiries > Complaints / Whistleblowers > Matters under Supervision of Other Laws Contact us SHARE : Detail Content SEC Complaint Center Matters under Supervision of Other Laws Products and
Market Supervisory Board > The Capital Market Supervision Board Members The Capital Market Supervision Board Members (19 November 2009 - Present) SHARE : Detail Content Chairman of the Capital Market
affairs, strategies; and currently overseeing policy and supervision of intermediaries, asset management, provident fund and market infrastructure Bank of Thailand, Analyst, Bank Supervision Department
and Close × Home > About Us > Get to Know Us > Our Structure > Capital Market Supervisory Board > The Capital Market Supervision Board Members The Capital Market