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activities, yet the scope of SEC authority not covering risks and guarantees for losses from investment, nor compensations for damages incurred to investors in all cases. Other regulated regulators in the
income, subsidies from the Stock Exchange of Thailand, investment revenue and others. All criminal fines from offence cases under the law enforcement are to submit to the Ministry of Finance as revenue to
/loss of share certificate ● Not receiving dividends The Thailand Securities Depository Co., Ltd. (TSD) The Stock Exchange of Thailand Telephone: +66-2009-9999 press 8 Website: www.set.or.th ● Incomplete
trading The Ministry of Finance had the power to regulate securities trading on the Stock Exchange of Thailand (SET) by issuing regulations or approving those drafted by the SET Board of Governors
company listed on the Stock Exchange of Thailand. Samples of matters under the SEC responsibility ● Approved securities / derivatives intermediaries / persons. For example: Malfunctioning of working
) Fully Implemented, (2) Broadly Implemented, (3) Partly Implemented, and (4) Not Implemented. Most jurisdictions accept assessment grade of Broadly Implemented or above. FSAP Results The SEC has been
) Fully Implemented, (2) Broadly Implemented, (3) Partly Implemented, and (4) Not Implemented. Most jurisdictions accept assessment grade of Broadly Implemented or above. FSAP Results The SEC has been