public and stakeholders in supervising and developing a sustainable capital market. The SEC administers the Securities and Exchange Act B.E. 2535 (1992), the Derivatives Act B.E. 2546 (2003), Trust for
Preserve Market Fairness and Transparency, Understand Industry, and be a Firm and Fair Regulator [ MESSAGE FROM THE CHAIRMAN ] (Mr. Somk id Ja tus r ip i t ak ) Cha i rman [ Message from the Chairman ]4
market, and other necessary market mechanisms. Of course, it is crucial that we strive forward to deepen and broaden good corporate governance, transparency, and surveillance measures. Furthermore, we need
who are in Contact with Investors ● Mutual Fund Management Business ● Revision of Rules on Securities Underwriting ● Law Enforcement 52 GOAL 4 Preserve Market Fairness and Transparency, Understand
the Thai capital market to ensure reliability, transparency and fairness for all parties. In fulfilling this mission, the Board emphasizes corporate governance practices within the SEC, incorporating
with a firm commitment to efficiency, transparency and fairness. We have reached our operational goals and witnessed continual market development including stronger ethical conduct in all important areas
representatives of companies, banks, and market participants. Behdad Nowroozi, James Seward, and Alex Berg provided advice and comments. Findings of this ROSC are based on the Detailed Country Assessment (DCA
market confidence and business integrity, which in turn is essential for companies that need access to equity capital for long term investment. Access to equity capital is particularly important for future
Protection Policy applies to the business operators who have been licensed by the SEC Office, the market professionals who have been approved by the SEC Office, other persons approved by the SEC Office, as
UNOFFICIAL TRANSLATION Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. Notification of the Capital Market