being an organization that seek to supervise and develop the Thai capital market towards efficiency, fairness, transparency, and integrity. ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ [ Message from the Secretary
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
(1992) in support of material advancements in the corporate governance efforts. On the international front, the SEC continued its role at the International Organization of Securities Commissions (IOSCO
material progress last year. In addition to our second-term chairmanship of the Asia-Pacific Regional Committee (APRC) of the International Organization of Securities Commissions (IOSCO), the Thai capital
GPf: government Pension Fund ifAC: International Federation of Accountants ifRS: International Financial Reporting standards iOSCO: International organization of securities commissions iSA
Sort by: Relevance Date (Newest) Date (Oldest) The SEC’s public hearing on the proposed measures to prevent the usage of digital asset as a tool in the commission of crime and to supervise digital asset
will closely coordinate with the SET to monitor stock trading activities and solve the problem in advance. Another aspect of the supervisory task is to improve risk management procedures of securities
services to an indirect client (tiered participant) who is a juristic person, securities clearing houses and central securities depositories shall also supervise and monitor potential risks of these members
the necessary resources and experienced personnel in order to be able to supervise the operations of the delegated persons, and to formulate the policy in the delegation of other persons to operate a