Principles of Corporate Governance - G20 version G 20/O E C D P rin c ip le s o f C o rp o ra te G o ve rn a n c e G20/OECD Principles of Corporate Governance ENG_Corporate Governance

Notification of the Securities and Exchange Commission (UNOFFICIAL TRANSLATION) PAGE (UNOFFICIAL TRANSLATION) - 11 - Readers should be aware that only the original Thai text has legal force and that

Notification of the Securities and Exchange Commission (UNOFFICIAL TRANSLATION) Readers should be aware that only the original Thai text has legal force and that this English translation is strictly

opportunities for established and potential business operators to maximize the use of FinTech in developing financial and investment services with less legal limitations and more efficient information access.SEC

SEC plans to revise the criteria on the maintenance of the net capital (NC) of securities and derivatives business operator. SEC has, therefore, conducted a public hearing on this matter, in

The SEC is proposing to amend the regulation on filing the application for establishment and management of mutual funds by allowing electronic submission of all required documents through the Online

SEC plans to revise criteria on the delegation of other persons to operate a business on behalf of the operators of securities, investment management, and derivative contract business in order to

the SEC is entrusted to carry out the duties in line with the policy given by the SEC under the leadership of the Secretary-General as the Chief Executive Officer. “Develop and Supervise the Thai

director (NED) Remuneration Committee/ Compensation Committee Audit Committee Nomination Committee Independent director (ID) Committee Definition Includes the position of chief executive officer (CEO

Corpo- ration for their financial contribution. This Report was prepared by Fianna Jesover, Senior Policy Ana- lyst, OECD with the oversight of Grant Kirkpatrick, Deputy Head, Corporate Affairs Division