safeguards to ensure that the delegated authority is applied fairly, consistently, and in accordance with the law. It is also essential that the governance structure of any such delegated institution be
Entities in order to Ensure Confidence of the Investing Public ■ Supervision of Market Intermediaries ■ Inspection of Listed Companies and Market Intermediaries ■ Regulation and Law Enforcement G OA L 4
Principles to a higher level, and helping make Thai listed firms ready for competition in ASEAN. SET has received a considerable amount of valuable input from listed companies, both through their-self
a valuable venue for networking and knowledge-sharing, the Roundtable produces policy reports and guides. The most important document remains the Roundtable‟s White Paper on Corporate Governance in
obligation of the SEC as prescribed by the Securities and Exchange Act. The SEC has the responsibility to issue rules and regulations, ensure compliance and pursue enforcement in case of violations. Despite
obligation of the SEC as prescribed by the Securities and Exchange Act. The SEC has the responsibility to issue rules and regulations, ensure compliance and pursue enforcement in case of violations. Despite
benefits of the capital market. Expectations include: Provide opportunities for businesses to operate independently with an effective supervision system in place to ensure an orderly market; Be
to ensure their correct understanding and implementation of the new notifications Acts and Royal Enactments Ministerial Notifications Rule Making Process Regulations Ministerial Regulations Regulations
business on their behalf in order to ensure that the delegation is duly carried out. SEC has made the public hearing document available at www.sec.or.th/hearing. Related persons and interested parties
monitor, control, and manage risks to ensure that these risks can be handled; (3) sufficient funding, appropriate systems and rules for membership and supervision of members to ensure efficient securities