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
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
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
committee has been established in 2013 with mandates to conduct IOSCO’s policy work on retail investor education and financial literacy, and to advise the IOSCO Board on emerging retail investor protection
) 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
amidst inefficient investor protection. To address the aforesaid issues, the Securities and Exchange Act B.E. 2535 (1992) was promulgated, and the Securities and Exchange Commission was established on
further legal proceeding; ● In case of a dispute between an investor and an intermediary, the SEC needs to disclose relevant information to the persons involved and for the intermediary to clarify or take
สามารถตรวจสอบได้จาก Investor Alert บริษัทจดทะเบียน บริษัทจดทะเบียนเปิดเผยข้อมูลไม่ถูกต้อง / ไม่ครบถ้วนในงบการเงิน แบบ 56-1 หรือ รายงานประจำปี บริษัทจดทะเบียนไม่ปฏิบัติตามข้อมูลที่เปิดเผยไว้ในหนังสือชี้