Investor should engage with the Investee Company to improve the company’s ESG performance. Leading international organisations and countries have promulgated principles for investment governance. Adoption of
of the Thai capital market in the region as well as the recognition of the SEC’s international roles and collaboration for sharing of information, opinions and experiences in different areas
collaboration among private sectors. The SEC, therefore, encourages listed companies, securities companies, and asset management companies to join the Private Sector Collective Action Coalition Against
es Investor Alert Enforcement Fundraising Securities Issuing Companies Takeover Professionals Intermediaries List of Securities Businesses / Derivatives Businesses Asset
/ Derivatives Businesses Securities Brokerage Securities Companies and Other Financial Institutions Staff or Agent (individual) Acting as Investor Contact of the Company D erivatives Agent Licensed
public and private sectors. Creating collaboration among all agencies in terms of concerted efforts to achieve the mission for well-being of the public. Our Roles How We Regulate SEC Working Principles