Board hereby issues the following regulations: Clause 1 This Notification shall come into force as from 1 July 2017. Chapter 1 General Provisions Part 1 Objectives of the Supervision of Derivatives
landscape of the capital market. In 2019, the SEC initiated to revisit the whole legislative structure regarding the supervision of auditing professions in Thailand for the first time to enhance the
. However, the SEC will continue monitoring relevant developments, supervision, and actions in various aspects to ensure that effective investor protection measures will be in place before further developing
operations involving supervision of market activities or monitoring of compliance with the stated laws, rules and regulations are generally managed within the SEC Office, except for licensing, which must be
their duties efficiently and effectively in the advancement and surveillance of listed companies’ financial statements and supervision of auditors’ work. Hence, the SEC regularly arranges internal
investment returns before Type B unitholders 12 Increasing Market Confidence Source : https://www.set.or.th/th/about/setsource/insights/article/318-set-boost-supervision Enhancing supervisory process through
futures exchange, by having the SET acting as a main player. Scheduled to inaugurate in 2005, the future exchange, which is currently a project under the supervision of Derivatives Exchange Development
Entities in order to Ensure Confidence of the Investing Public ■ Supervision of Market Intermediaries ■ Inspection of Listed Companies and Market Intermediaries ■ Regulation and Law Enforcement G OA L 4
procurement of benefit 3. Market overview of the business of procuring benefits from REIT’s assets 4. Risk factors 5. Legal disputes 6. Other relevant information Part 3: REIT Supervision and Management 7
85 87 88 102 102 103 Total staff: 422 2 Broker-Dealer Supervision Dept. 36 staff Market Supervision Dept. 9 staff Supervision Dept. 43 staff Supervision Dept. 29 staff Securities Business Senior