from the Secretary-General 08 Members of the SEC Board 11 Executive Officers 15 About the SEC 18 Thailand’s Capital Market Overview 23 Key Achievements in 2004 26 2005 Action Plan 2004 Achievements 29
...................................................................................... Capital Market Overview Market Review ....................................................................................................................... Action Plan and Significant Events Strategic
6-8, 1998) C o n t e n t s Corporate Review Capital Market Review Action Plan and Events Achievements in 2007 Appendices Organizational Structure Message from the Chairman Message from the Secretary
compliance of listed firms, and enforcement capacity vis-à-vis the OECD Principles. > The assessments are standardized and systematic, and include policy recommendations and a model country action plan. In
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
Arbitration Procedures Investigation of Possible Contraventions of the SEC Act B.E. 2535 (1992), Procedure for Investigation, and Criminal Action Procedure Summary of Settlement and Legal Actions in the Year
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
circumstances change, the different provisions of the corporate governance framework should be reviewed and, when necessary, adjusted. Countries seeking to implement the Principles should monitor their corporate
-regulation and the costs from unintended consequences of policy action. 8 REFORM PRIORITIES IN ASIA: TAKING CORPORATE GOVERNANCE TO A HIGHER LEVEL © OECD 2011 underpinned by a stock-taking exercise of progress