. Supervisory, regulatory and enforcement authorities should have the authority, integrity and resources to fulfil their duties in a professional and objective manner. Moreover, their rulings should be timely
--two of its subsidiaries are also in the top ten--as well as one of three the largest banks, and the national airline and the airport authority. The state’s direct holdings in these The market has
accounting, audit, and non- financial disclosure. All Asian economies should continue to strengthen these institutions to: establish high standards for disclosure and transparency; have the capacity, authority
UNOFFICIAL TRANSLATION “SEC Thailand is a recipient of Digital Government Awards 2020 and Honorable Mention of the 9th NACC Integrity Awards 2019” Office of the Securities and Exchange Commission 333
UNOFFICIAL TRANSLATION “SEC Thailand is a recipient of Digital Government Awards 2020 and Honorable Mention of the 9th NACC Integrity Awards 2019” Office of the Securities and Exchange Commission 333
basis of integrity and prudence, exercise their knowledge and expertise as professional to ensure the full protection of investors’ interest, as well as provide proper and sufficient information
regulations which would serve as management standards must be set out. In this respect, management companies, which are entrusted by their customers, shall manage the investments on the basis of integrity and
within the scope of the regulator’s statutory authority, while considering all relevant factors. 3 Statement of Intent (2017) 4. Strategic priorities To achieve the legislative intent, the SEC’s vision
objectives of securities regulations identified by IOSCO: the protection of investors; ensuring that markets are fair, efficient and transparent; and the reduction of systemic risk.3 Quality and integrity of
(IMA) Control Environment 1. The organization demonstrates a commitment to integrity and ethical values. Questions Yes No 1.1 The board of directors and the management set up principles and guidelines