protection from expropriation by controlling shareholders, they have had mixed success. Additional measures that might be adopted include: (i) ensuring that regulators have the capacity to monitor companies in
appropriate measures to achieve intended outcomes with careful consideration of the impact of interventions on relevant parties and the ability to monitor implementation. The SEC believes that measures should
cooperated with the Association of Securities Companies in its issuance of the code of conduct on relationship with clients. Brokers must closely monitor clients’ trades and ensure the quality of advice given
capacity. It also highlights the need to disclose and minimize conflicts of interest that may compromise the integrity of proxy advisors, analysts, brokers, rating agencies and others that provide analysis
compliance of listed firms, and enforcement capacity vis-à-vis the OECD Principles. > The assessments are standardized and systematic, and include policy recommendations and a model country action plan. In
regulations ë Monitor submission of reporting requirements and information disclosure to assure a sound financial condition and capital adequacy according to rules and regulations ë Conduct routine inspection
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
intermediaries and those who transact with digital assets, and lessen chance for people on deception or be at disadvantages as well as allow the public sector to have tools to monitor https://www.sec.or.th/EN
and those who transact with digital assets, and lessen chance for people on deception or be at disadvantages as well as allow the public sector to have tools to monitor https://www.sec.or.th/EN/Pages
digital assets , and lessen chance for people on deception or be at disadvantages as well as allow the public sector to have tools to monitor https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8285 SEC