featured stylized flames in red and white. (H including handle 18 cm) S h a p i n g t h e T h a i C a p i ta l M a r k e t Securities and Exchange Commission, Thailand 04 Message from the Chairman 06 Message
sources of funds to handle risks arising from connected services. In cases where a central securities depository desires to provide tiered participation arrangements with another central securities
to allocate their savings into investment properly Increase institutional investors as a vehicle to expand wider groups of investors SCE_Eng_p.17-32 10/29/04, 1:07 AM17 18 ● Adopted risk-based approach
and special investigation against possible contravention or malpractice ë Handle complaints against misconduct ë Set approval standards to ensure that related persons are fit and proper ë Set standards
choose a default investment plan for members, for example, a life path-oriented plan that would adjust members? investment portfolios automatically and appropriately as they approach the retirement age
transparent. The state should exercise its rights as a shareholder actively and in the best interests of the company. Asian economies should adopt a comprehensive approach to monitoring and curbing related
as the "Hot Line" to handle public inquiries in certain circumstances. In 2007, the SEC Help Center received 2,219 inquiries and 378 complaints. The most frequent issues of complaint were those in
ทอ้นถึง exposure สูงสุดที1อาจเกิดขึนได ้ (4) การคาํนวณ commitment approach ซึ1 งสามารถให ้netting ระหวา่ง derivative หรือ asset ที1เป็น underlying เดียวกนันัน ควรใหส้ามารถ https://capital.sec.or.th
capital market. The SEC employs a collaborative approach to build relationships with and ensure engagement of relevant stakeholders. (2) Define clear intended outcomes within the scope of the SEC’s
of the Attorney General (OAG) for criminal prosecution. In enforcing the law using the above channels, the SEC takes the due process approach based on legal principles and available evidence while