of filing a complaint against SEC executives or staff for alleged improper or unfair duty performance, in which case a special committee will be appointed to consider the case and conduct an
enhance the SEC’s enforcement capabilities. This reflects SEC’s continued commitment to improve our supervisory standards to be widely recognized in an international arena. More details on IOSCO MMoU
Capital Market Supervisory Board The Capital Market Supervisory Board (CMSB) has the power and duty under the Securities and Exchange Act that include issuance of rules and regulations governing the
Capital Market Supervisory Board The Capital Market Supervisory Board (CMSB) has the power and duty under the Securities and Exchange Act that include issuance of rules and regulations governing the
authorities under IOSCO Multilateral Memorandum of Understanding Concerning Consultation and Co-operation and the Exchange of Information (IOSCO MMoU), which helps to enhance preventive and deterrence measures
authorities under IOSCO Multilateral Memorandum of Understanding Concerning Consultation and Co-operation and the Exchange of Information (IOSCO MMoU), which helps to enhance preventive and deterrence measures
supervision include duty performance of market participants such as securities issuers,approved securities/derivatives intermediaries , e.g., brokers, dealers and asset management companies, and the SEC
) The Subcommittee has a duty to propose policies and workplans for developing organizational governance, as well as frameworks for recruitment of officers, remuneration determination, and evaluate the
. Subcommittee on Governance and Remuneration Sub-committee (Office term of two years ) The Subcommittee has a duty to propose policies and workplans for developing organizational governance, as well as
นักงำน ได้แก่ บริษัทหลักทรัพย์จัดกำรกองทุน (บลจ.) และผู้รับฝำกหลักทรัพย์ (Custodian) โดยมีกำรแบ่งแยกหน้ำที่ (segregation of duty) และมีกำรสอบทำน (check and balance) เพื่อให้เกิดประสิทธิภำพและมีควำมรอบ