standards. 2 Statement of Intent (2017) The capital market plays an important role in society and the national economy. The SEC, as a capital market regulator, strives to enhance the wellbeing of people by
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
as the reform of market institutions and infrastructure to enhance their effectiveness and efficiency. Furthermore, the Plan gives high priority to the systematic promotion of good governance in all
Information ● Supervision of Professionals Who Provide Information for Investors ● Development of Laws or System to Enhance Investorûs Rights 41 GOAL 3 Promote Integrity of the Market, Intermediaries, and All
Commissions (IOSCO) and the International Association of Insurance Supervisors (IAIS). This was to ensure efficiency and continuity of market operations, including a timely recovery to normal operations in the
changing international accounting principles. In developing market infrastructure to enhance local players' competitiveness on the global arena, the SEC encouraged securities companies to initiate novel
, protection of investors? rights, and/or good governance, and (3) granting the SET Board of Governors the power to allow trading access to non-members of SET, which would enhance SET to have flexibility in its
facet of this structural change was corporate governance reform. Indeed, the years since the Asian financial crisis of 1997 have seen many countries in Asia enhance and transform corporate governance
อาจารย์ประจำคณะพาณิชยศาสตร์และการบัญชีจุฬาลงกรณ์มหาวิทยาลัย บรรยายเรื่อง “ Digital Economy และ https://www.sec.or.th/TH/Pages/News_Detail.aspx?SECID=8613 SEC and Thai Digital Asset Association in