, brings about different outcomes, and can be applied on different levels. The supervisory mechanism covers three areas, i.e., self-discipline, market discipline and regulatory discipline. To create
shareholder). Many of these transactions facilitate normal day-to-day business of the business group and might be economically efficient. Examples of such transactions are sale or purchase of goods, and
systems to ensure continuity of business and a timely resumption to normal operations. The SEC also examined the SET's policies and procedures on BCP and business continuity management (BCM) adopting as the
quarterly MD&A (management discussion and analysis); and (4) Encouraging securities companies to voluntarily enter into dispute settlement through arbitration procedure Self-Discipline ● Prescribed best
forthcoming liberalization within five years. Message from the Secretary-General 4 not only empowered businesses but also furthered the moves toward the SEC's much anticipated self- regulation. On social
Kong Securities & Futures Commission for mutual recognition of managed fund products. We also undertook a self-assessment for compliance with IOSCO Principles to pave the way for Thailand’s Financial
the execution of electronic transactions which would be deemed as fully legitimate as normal transactions, for example, transactions related to businesses under the SEC supervision, subscription
as fully legitimate as normal transactions, for example, transactions related to businesses under the SEC supervision, subscription, issuance and settlement of securities, and organization of
. Insider trading is prohibited and other types of self-dealing and conflicts of interest are regulated. The SEC actively monitors the market for abusive practices. Institutional investors regularly vote