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
principle, in the second quarter, covering the calculation of subordinated facility for accommodating increasing transactions in the short-term, the calculation of the capital to accommodate the digital
businesses and FinTech startups to make the most of financial innovations, but also promote a full-scale digital economy.?The FinTech Draft Act contains four core matters: (1) strengthening the confidence in
securities issuing companies disclose information, including financial statements, management structure, and risk management measures to enable investors, the media, and the SEC to monitor their operation
securities issuing companies disclose information, including financial statements, management structure, and risk management measures to enable investors, the media, and the SEC to monitor their operation
monitor, control, and manage risks to ensure that these risks can be handled; (3) sufficient funding, appropriate systems and rules for membership and supervision of members to ensure efficient securities
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
will closely coordinate with the SET to monitor stock trading activities and solve the problem in advance. Another aspect of the supervisory task is to improve risk management procedures of securities
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
Report on the Observance of Standards and Codes (ROSC) CORPORATE GOVERNANCE COUNTRY ASSESSMENT Thailand JANUARY 2013 Report on the Observance of Standards and Codes (ROSC) CORPORATE GOVERNANCE COUNTRY ASSESSMENT Thailand January 2013 Acknowledgements This assessment of corporate governance in Thailand has been prepared by David Robinett, Ratchada Anantavrasilpa, and Catherine Hickey of the World Bank Global Capital Markets Practice, as part of the Reports on Observance of Standards and Codes Pro...