and collaboration with several agencies such as the SET, the Thai Institute of Directors (IOD), the Thai Listed Company Association, and the Thai Investors Association. 3. Enforcement Illegal
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
Principles of Corporate Governance 2015 OECD OECD CG Principle 2006 OECD Asian Roundtable on Corporate Governance Year 2014 OECD Reform Priorities in Asia: Taking Corporate Governance to a higher OECD
Principles (in Thai) Example of ESG Questions Moving Forward The collaboration and collective effort and support by all relevant stakeholders are the key drivers for successful application of the I
closed-end funds listed in Stock Exchange must comply with the Stock Exchange rules. (6) Actions taking in dissolving mutual fund such as the period of 10 days for repayment for auto-redemption of the
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