Derivatives Act, B.E. 2546. 7. Having exposures to the underlying or derivative position with the persons licensed or registered as derivative dealers pursuant to the Derivatives Act, B.E. 2546 (if the issuer
can better diversify the investment risks, and receive professional services in monitoring and managing the investments. Establishment of Mutual Funds Cross-boder Offering of Funds Offering for Sale
Investors SHARE : Detail Content In building investors' confidence, it is impossible for the SEC, to protect investors from all risks or shield them against investment losses. The main objective of the
, efficiency and transparency. Systematic risks in the markets can be managed and contained within limits. Our Roles How We Regulate SEC Working Principles Our Policies Signatory of Investment Government Code
appropriate level of risks. To achieve such a goal, the SEC believes that investing in activities with emphasis on sustainability strategies, good governance and accountability to the society and environment
The board should monitor the company’s financial liquidity and solvency. Principle 7.3 The board should ensure that risks to the financial position of the company or financial difficulties are
activities, yet the scope of SEC authority not covering risks and guarantees for losses from investment, nor compensations for damages incurred to investors in all cases. Other regulated regulators in the
เสี่ยงและโอกาส (risks and opportunities) ที่มีผลกระทบต่อการสร้างมูลค่าของธุรกิจอย่างมีนัยสำคัญ (materiality) เพื่อประกอบการตัดสินใจลงทุน รวมทั้งช่วยให้บริษัทจัดทำข้อมูลเกี่ยวกับความยั่งยืนได้อย่างเหมาะสม
achieve three core objectives of securities regulations: (1) protecting investors, (2) ensuring that markets are fair, efficient and transparent, and (3) reducing systemic risks. IOSCO Principles comprise