5. A derivatives fund management contract shall have the characteristics in compliance with the following rules: (1) Having a clear scope of investments or restrictions of investments; (2) The
practice standards for securities companiesû compliance officers ● Drafted directorûs handbook for securities companies ● Drafted directorûs handbook for listed companies ● Supported the project to evaluate
Kong Securities & Futures Commission for mutual recognition of managed fund products. We also undertook a self-assessment for compliance with IOSCO Principles to pave the way for Thailand’s Financial
is in accordance with this guideline, its operating system shall be deemed compliant with the requirement in the aforesaid notification by the Office. The management company may proceed in compliance
activities. The SEC operation is in accordance with the governance framework as follows: responsibility to review and give advice on internal controls, risk management, and compliance with the applicable laws
to strengthen reliability and linkage among the ASEAN capital markets, promote the ASEAN Brand as a world-class product, enhance compliance with the international disclosure standards as well as expand
fair and orderly markets, ensure regulatory convergence with international standards and improve efficiency of information disclosure of securities issuers in compliance with good corporate governance
initiative of the International Monetary Fund and the World Bank. The results ref lected a satisfactory level of Thailand's compliance with the international standards. Certain deficiencies were identified and
SECURITIES AND EXCHANGE COMMISSION, THAILAND ANNUAL REPORT 2014ANNUAL REPORT 2014 CONTACT INFORMATION This report can be downloaded from www.sec.or.th For more information about this report, please contact: SECURITIES AND EXCHANGE COMMISSION, THAILAND 333/3 Vibhavadi-Rangsit Road, Chomphon, Chatuchak, Bangkok, Thailand 10900 Tel. 1207 or +66 2695 9999 e-mail: info@sec.or.th This 2014 Annual Report is about policies, strategies and performance of the SEC. We aim to supervise and develop the Thai...