. 2535 (1992) (SEC Act). Pursuant to the SEC Act, the SEC is empowered to supervise and develop the primary and secondary markets of the country’s capital market system as well as securities-related
under the promulgation of the Securities and Exchange Act B.E. 2535 with its mission to: çDevelop and Supervise the Thai Capital Market to Ensure Efficiency, Fairness, Transparency and Integrityé The
being an organization that seek to supervise and develop the Thai capital market towards efficiency, fairness, transparency, and integrity. ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ [ Message from the Secretary
services to an indirect client (tiered participant) who is a juristic person, securities clearing houses and central securities depositories shall also supervise and monitor potential risks of these members
minutes of the Board meetings in compliance with the corporate governance principles. This includes the monitoring of executions of the Board resolutions and orders. In 2006, there were 13 Board meetings
Board meetings based upon good governance principles. This includes the monitoring of actions taken according to Board resolutions and orders. Notes: * It is customary for the Minister of Finance, as the
the necessary resources and experienced personnel in order to be able to supervise the operations of the delegated persons, and to formulate the policy in the delegation of other persons to operate a
through which the objectives of the company are set, and the means of attaining those objectives and monitoring performance are determined. The Principles do not intend to prejudice or second-guess the
through new or amended regulations with practitioners to ensure their correct understanding and implementation, and to assign an officer to take care of each company under the SEC supervision. 2. Monitoring