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

efforts in strengthening corporate governance in the industry. In the year ahead, countless different challenges are bound to arise and test our strengths, but I believe the SEC management and staff will

in accordance with international standards. One of the achievements during the year was the overall result of the Thai capital market assessment under the Financial Sector Assessment Program, a joint

advisors, sale agents of mutual funds and private funds, and marketing officers of securities brokers must posses the qualified level of education and must pass a test on fundamental knowledge of financial

matters: (1) business continuity management, as detailed in Part 1; (2) review, monitoring, and examination of computer systems relating to clearing, settlement, and depository services with respect to

futures exchange and formulate risk management tools. Moreover, closed coordination will be made with foreign regulators while Thailand will participate in the assessment project called the Report on the

the committee to review the work of financial advisers. Moreover, in considering material facts regarding the contravention of laws, rules, and regulations, the SEC https://www.sec.or.th/EN/Documents

://www.sec.or.th/EN/Documents/AnnualReport/pb_ar_2003.pdf Annual Report 2004 for property valuation standards, and the committee to review the work of financial advisers. Moreover, in considering material facts

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

Notes SET Ministry of Commerce Other related entities Company Profile Assessment National level Listed company level Archive CG CSR Anti-corruption AGM FAQ News/Events FAQ Board roles and responsibilities