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
Stability Board’s (FSB) Key Standards for Sound Financial Systems serving FSB, G20 and OECD members. They have also been used by the World Bank Group in more than 60 country reviews worldwide. And they
consistent manner; (2) set out detailed guidelines of practice that is proper and in compliance with this Notification, with which conformity to be deemed as compliance with the relevant regulations under this
pros and cons and the costs of compliance 4. Seek approval for the measure from SEC Board/CMSB/SEC Office 5. Conduct public consultation on the measure: focus group meetings/public hearings This
] Legal Group • responsible for providing legal advice on rulemaking and keeping up to date with legal developments. Enforcement Group • responsible for monitoring and investigating unfair securities
fair and orderly markets, ensure regulatory convergence with international standards and improve efficiency of information disclosure of securities issuers in compliance with good corporate governance
Agency ● Internal Management 57 Board of the SEC 58 Appellate Committee 59 Sub-committees and Steering Group 66 Arbitrators 67 Executives Officers 68 Capital Market Performance 2001-2003 72 Investigation
initiative of the International Monetary Fund and the World Bank. The results ref lected a satisfactory level of Thailand's compliance with the international standards. Certain deficiencies were identified and
as well as the deliberations of a Working Group in May 2010. The report was en- dorsed by consensus at the annual meeting of the Asian Roundtable, 3-4 October 2011 in Bali, Indone- sia. The next phase
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