sources of funds to handle risks arising from connected services. In cases where a central securities depository desires to provide tiered participation arrangements with another central securities

Discipline ● Proposed to amend the SEC Act to define clearer scope of responsibilities of listed companiesû directors and to empower investors in exercising their rights ● Cooperated with the SET in revising

featured stylized flames in red and white. (H including handle 18 cm) S h a p i n g t h e T h a i C a p i ta l M a r k e t Securities and Exchange Commission, Thailand 04 Message from the Chairman 06 Message

derivatives business operators is determined by the types of license packages, each permitting a scope of various business undertakings. For example, Type A Securities Business License requires the minimum paid

and special investigation against possible contravention or malpractice ë Handle complaints against misconduct ë Set approval standards to ensure that related persons are fit and proper ë Set standards

formulating the structure and scope of responsibilities of sub-committees and steering groups, the Board employs a check and balance system and corporate governance principles to prevent conflicts of interest

Reform Priorities in Asia: Taking Corporate Governance to a Higher Level Taking Corporate Governance to a Higher Level reform priorities in Asia 2011 REFORM PRIORITIES IN ASIA: TAKING CORPORATE GOVERNANCE TO A HIGHER LEVEL 2011 This work is published on the responsibility of the Secretary-General of the OECD. The opinions expressed and arguments employed herein do not necessarily reflect the official views of the Organisation or of the governments of its member countries. This document and any m...

within the scope of the regulator’s statutory authority, while considering all relevant factors. 3 Statement of Intent (2017) 4. Strategic priorities To achieve the legislative intent, the SEC’s vision

 Privacy Policy Personal Data Protection Policy for Internal Administration (Website) The Office of the Securities and Exchange Commission (SEC Office) 0. Scope of this Policy This Personal Data

, including market intermediaries and listed companies.1 The SEC and capital markets are governed by the Securities and Exchange Act 1992 (SEA). The SEA has a wide-ranging scope and was amended in 2008 to