inconsistent with the ever-advancing technologies and do not allow businesses to access necessary information sufficiently. The FinTech Act would not only reduce such limitations by allowing established

an electronic transaction and applying FinTech to business operation are still a challenge in Thailand mostly because the governing laws are inconsistent with the ever-advancing technologies and do not

2 0 0 6 21 Whom and How We Regulate Whom How Licensed/approved corporations and individuals undertaking securities businesses, derivatives businesses, or related activities/services as follows: ë

responsive to the different needs of market participants without unfairly advancing the interests of any particular group to the disadvantage of others;  Promptly deal with identified issues and misconduct

% 60% 40% 20% 0% Market Participants Financial Institutions (Licensed Dealers and Non Licensed Dealers) 38.5% Contractual Saving Funds 12.5% Mutual Funds 19.2% Insurance Companies 3.2% 115 110 105 100

Protection Policy applies to the business operators who have been licensed by the SEC Office, the market professionals who have been approved by the SEC Office, other persons approved by the SEC Office, as

responsibility to supervise such funds by providing that they are securities businesses, and thus requiring to be licensed from the SEC. At present, the Ministerial Regulation enabling the application for licenses

addition, both the trading volumes and prices of debt instruments are now systematically disclosed. At present, there are 4 companies licensed to operate IDB business. The Thai Bond Dealing Centre (Thai BDC

house” means any licensed derivatives clearing house according to the law on derivatives; “central securities depository” means any central securities depository according to the law on securities and

Annual Report 2007 Securities and Exchange Commission, Thailand ANNUAL REPORT 2007 Corporate social responsibility is the continuing commitment by business to behave ethically and contribute to economic development while improving the quality of life of the workforce and their families as well as of the local community and society at large. (WBCSD Stakeholder Dialogue on CSR, The Netherlands, Sept 6-8, 1998) C o n t e n t s Corporate Review Capital Market Review Action Plan and Events Achievemen...