Privacy Policy Personal Data Protection Policy for Internal Administration (Website) The Office of the Securities and Exchange Commission (SEC Office) 0. Scope of this Policy This Personal Data
same ground. There is also potentially confusing differences and overlap between the SEA and PLCA. In spite of wide spread training and awareness raising, market participants may not always fully
SEC has used that opportunity to promote knowledge and awareness of investors on major issues such as right of shareholders, and the role of the SEC in supervising and developing the Thai capital market
corporate governance while promoting awareness and use of the OECD Principles of Corporate Governance as well as the OECD Guidelines on Corporate Govern- ance of State-Owned Enterprises. In addition to being
of due diligence and know-your-client assessments (DD/KYC), (3) supporting electronic non-face-to-face identity verification, and (4) allowing businesses to access anonymized data under possession of
additional clarity to others. While some of the Principles may be more appropriate for larger than for smaller companies, it is suggested that policymakers may wish to raise awareness of good corporate
confidentiality and data protection. The SEC has put in place internal procedures to ensure that its exercise of powers and duties are consistently applied. Operational Risk Management The SEC has developed its
members must keep in confidence any data obtained during the course of duty and must not take advantage of such undisclosed information; ë Other areas: The SEC Board members must perform their duties
establishment of fund rating agency (FRA) in order to promote comparative data among mutual funds so that investors can get better information that will benefit their investment decisions ● Registered 3,388
-site operation in case of emergency. With the backup of necessary electronic data, the web-based systems can function via the DRC site in case of longer-than- expected failure of the main system. Regular