national economy. At present, there are six legislations administered by the SEC, namely: the Securities and Exchange Act of 1992 ; the Derivatives Act of 2003 ; the Trust for Transactions in Capital Market
must be clearly specified in order to avoid any doubt whether internal information is used to the benefit of the executives. The program must be administered by an intermediary, such as a securities
Criminal action is a type of law enforcement against any person who acts or omits to act in violation of the laws administered by the SEC. Criminal actions are divided into two groups, namely: (a) criminal
administrative orders on individuals or juristic persons under the SEC's supervision, in other words, persons licensed, approved, or registered in accordance with the laws administered by the SEC. For example
investing in real estate projects without having to put up a sizable outlay as normally required in a direct investment in real estate. Furthermore, the investment is professionally administered by experts in
means any legal entity obtaining the license to undertake securities business which is not: (1) any legal entity supervised by any other governmental agencies before obtaining securities business license
of Thailand issued regulations and supervised business operation of securities companies. The Stock Exchange of Thailand oversaw members’ operation pursuant to the rules drafted by the Bank of Thailand
, efficiency and transparency. Systematic risks in the markets can be managed and contained within limits. Our Roles How We Regulate SEC Working Principles Our Policies Signatory of Investment Government Code
promptly identified, managed and mitigated, and that the company’s governance framework provides for the consideration of stakeholder rights. Principle 7.4 The board should ensure sustainability reporting
the efficiency of the Thai capital market system. The objective is to enable the business sector and market operators in the capital market to grow and expand their operations, while investors are