empowered to achieve financial well-being. To deliver this objective, the SEC is compelled to adapt and refine its strategy and operations to effectively address the challenges and issues that have arisen
relation to digital asset trading, or using a digital asset trading account, bank account, account opened with a digital asset business or any other account of any other person. Civil penalty can be
appropriate level of risks. To achieve such a goal, the SEC believes that investing in activities with emphasis on sustainability strategies, good governance and accountability to the society and environment
achieve its objectives. Principle 4.2 The board should ensure that an appropriate compensation structure and performance evaluation are in place. Principle 4.3 The board should consider its responsibilities
public and private sectors. Creating collaboration among all agencies in terms of concerted efforts to achieve the mission for well-being of the public. Our Roles How We Regulate SEC Working Principles
.; Administrative sanction is a type of penalty prescribed in the Derivatives Act and the Trust for Transactions in Capital Market Act. It may be imposed on derivatives business operators, futures exchange
; (2) determining means to attain the objectives; and (3) monitoring, evaluating, and reporting on performance. Principle 1.2 To achieve sustainable value creation, the board should
achieve the national missions within the scope of assigned authority and under the related laws. Our Roles How We Regulate SEC Working Principles Our Policies Signatory of Investment Government Code (I
B.E 2509 regarding the operation, control, dissolution and the penalty provisions are applied, mutatis mutandis, to regulate the related associations. Trade Associations Act B.E 2509 Securities and
achieve three core objectives of securities regulations: (1) protecting investors, (2) ensuring that markets are fair, efficient and transparent, and (3) reducing systemic risks. IOSCO Principles comprise