as well as financial intermediaries and service providers with the right incentives to perform their roles within a framework of checks and balances. The Principles are intended to be concise
AND EXCHANGE COMMISSION, THAILAND 10th and 13th-16th Fl. Diethelm Towers B, 93/1 Wireless Road, Lumpini, Patumwan, Bangkok 10330 Thailand Tel. 66 (0) 2252-3223 Fax : 66 (0) 2256-7711 e-mail : info
markets, over-the-counter trading center and other service providers for transactions in the capital market. “Capital market supervision,” therefore, is primarily the supervision of market participants
markets, over-the-counter trading center and other service providers for transactions in the capital market. “Capital market supervision,” therefore, is primarily the supervision of market participants
on the public, a public hearing seminar is usually held. In this connection, although the SEC does not have a formal procedure to assess costs of compliance with the regulation, related input is
AND EXCHANGE COMMISSION, THAILAND 10th and 13th-16th Fl. Diethelm Towers B, 93/1 Wireless Road, Lumpini, Patumwan, Bangkok 10330 Thailand Tel. 66 (0) 2252-3223 Fax : 66 (0) 2256-7711 e-mail : info
financial institutions SOe: state owned enterprise TfRS: thai Financial Reporting standards Thai iod: thai Institute of directors THB: thai Baht TRiS: thailand Rating Information service TSd: thailand
Rule Making Process SHARE : Detail Content 1. Assess the importance of matters 2. Study international supervisory measures and standards 3. Conduct regulatory impact assessment: Analyze the
plans and procedures for the SEC including development of operational guidelines, systems to identify, assess, monitor, control or minimize risks and record keeping and reporting system. The Division also
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