cooperated with the Association of Securities Companies in its issuance of the code of conduct on relationship with clients. Brokers must closely monitor clients’ trades and ensure the quality of advice given
appropriate measures to achieve intended outcomes with careful consideration of the impact of interventions on relevant parties and the ability to monitor implementation. The SEC believes that measures should
will closely coordinate with the SET to monitor stock trading activities and solve the problem in advance. Another aspect of the supervisory task is to improve risk management procedures of securities
regulations ë Monitor submission of reporting requirements and information disclosure to assure a sound financial condition and capital adequacy according to rules and regulations ë Conduct routine inspection
plans and procedures for the SEC including development of operational guidelines, systems to identify, assess, monitor, control or minimize risks and record keeping and reporting system. The Division also
paying installments to the financial institutions prior to the securitization of the loans. (2) Special purpose vehicles are now exempted from the corporate income tax in the same amount of the provision
higher than that of many high income countries as well as many countries in Asia, with the notable exceptions of Malaysia and Singapore. The SET index fell below the 400-point mark during the crash of 2008
circumstances change, the different provisions of the corporate governance framework should be reviewed and, when necessary, adjusted. Countries seeking to implement the Principles should monitor their corporate
governance frame- work. For instance, in Asia the prevalence of controlling shareholders might require more focus on independence of the board to monitor the management and effective protection of minority
intermediaries and those who transact with digital assets, and lessen chance for people on deception or be at disadvantages as well as allow the public sector to have tools to monitor https://www.sec.or.th/EN