efforts in strengthening corporate governance in the industry. In the year ahead, countless different challenges are bound to arise and test our strengths, but I believe the SEC management and staff will
conclusion, I wish to express my sincere appreciation to the SEC management and staff who have put in tremendous efforts over the years. I am confident that with everyone’s continued support and commitment
prevention and handling of conflicts of interest; (2) adequate measures to prevent directors, executives, sub-committee members, advisors, staff members, employees, or persons who work for securities clearing
a majority position, and another 12 in which it is a minority shareholder. The 58 SOEs have over 250,000 employees, assets of 6 trillion THB, revenue of 2.7 trillion THB, dominate key sectors
arbitration procedure between investors and market intermediaries, the introduction of regulations that requires all staff of market intermediaries who are in touch with investors to possess professional
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
business or of systemic economic importance. 10 G20/OECD PRINCIPLES OF CORPORATE GOVERNANCE © OECD 2015 The Principles recognise the interests of employees and other stakeholders and their important role in
Official Information Act: Persons to whom requests for information are made/persons who request information /employees/persons who receive letters/names of officers who request information from the Office of
Thai capital market today results from the cooperation and support of all market participants including staff of the SEC. In this connection, on behalf of SEC commissioners, I would like to express my
effective protection against retaliation for employees who report problems and abuses. To preserve and promote reputational goodwill, board members (and policy-makers) should not only take into account the