data directly from you by collecting from: Seminars/trainings/meetings/hearings/visits to the SEC Office; The Enterprise Content Management System (ECM) of the SEC Office. The SEC Office receives your
Objectives of the Supervision of Securities Clearing Houses and Central Securities Depositories Clause 2 A securities clearing and settlement system is a fundamental system which has connection to the
indirectly – can participate and share in their value-creation on fair and equitable terms. Together, the body of corporate governance rules and practices therefore provides a framework that helps to bridge
to look and act beyond our frontier. With Thailand assuming as increasingly prominent role as one of Asia’s leading growth engines, we must be more engaged in the development of Asia’s financial system
Information ● Supervision of Professionals Who Provide Information for Investors ● Development of Laws or System to Enhance Investorûs Rights 41 GOAL 3 Promote Integrity of the Market, Intermediaries, and All
our promotion of overseas investments, strengthened enforcement on insider trading, share manipulation, executive misconducts, accounting frauds, false documentation of securities issuance and offering
Supervising Those who are in Contact with Investors ■ Promotion of Good Corporate Governance ■ Development of Legal Framework to Afford Better Protection for Clients’ Assets and Provide Mechanism for Investors
formulating the structures and the scopes of responsibilities of sub-committees and steering groups, the Board employs the checks and balances system and the corporate governance principles to prevent conflicts
Fund Approval and Management System (“OFAM”). In addition, the amendment would expand channels for announcement of dividend payment such as websites of asset management companies. The paperless
share- holders (through what is known as 'tunnelling' 3 ), or misrepresenting an individual company's financial statements (of particular concern where the company is under pressure to meet expectations