] Legal Group • responsible for providing legal advice on rulemaking and keeping up to date with legal developments. Enforcement Group • responsible for monitoring and investigating unfair securities
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
Stability Board’s (FSB) Key Standards for Sound Financial Systems serving FSB, G20 and OECD members. They have also been used by the World Bank Group in more than 60 country reviews worldwide. And they
the mark for another year in 2006, further strengthening the robustness of market infrastructure. Though affected by unexpected incidents late in the year, the market managed to recover and the stock
, and unauthorized securities businesses. We took legal actions on such wrongdoings and by the end of the year, we managed to prevent considerable sums of damages. On regulatory side, we continued to
Agency ● Internal Management 57 Board of the SEC 58 Appellate Committee 59 Sub-committees and Steering Group 66 Arbitrators 67 Executives Officers 68 Capital Market Performance 2001-2003 72 Investigation
as well as the deliberations of a Working Group in May 2010. The report was en- dorsed by consensus at the annual meeting of the Asian Roundtable, 3-4 October 2011 in Bali, Indone- sia. The next phase
กฎเกณฑ์แล้ว ก.ล.ต. มีกระบวนการในการดำเนินการ ดังนี้ 1. ศึกษามาตรฐานจากหน่วยงานกำกับดูแลต่างประเทศและมาตรฐานสากลเพื่อกำหนดหลักการ 2. เปิดรับฟังความคิดเห็นหลักการ (public hearings / focus group) 3. นำ
/CMSB/SEC Office 5. Conduct public consultation on the measure: focus group meetings/public hearings This step ensures that the measure to be taken is appropriate, practical and respectful to
responsive to the different needs of market participants without unfairly advancing the interests of any particular group to the disadvantage of others; Promptly deal with identified issues and misconduct