capital market and its position in the region as a preferred capital market venue; 4.2 Promoting good governance and high standards as an integral part of business of issuers, securities companies and

capacity. It also highlights the need to disclose and minimize conflicts of interest that may compromise the integrity of proxy advisors, analysts, brokers, rating agencies and others that provide analysis

technology and international co-operation among relevant authorities.  Managers, board members, and controlling shareholders should disclose structures that give insiders control disproportionate to their

Early this year, SEC held public hearings to obtain views on establishing rules that require companies issuing IPOs to disclose information related with the offering for sale of their securities

notification is implemented/enforced practically, transparently and effectively. ​10. ​Seek approval from SEC Board/CMSB/SEC Office before the notifications become effective *  ​11. ​Publicly disclose in the

disclose relevant information and have to keep them updated in all cases. This was a departure from the previous regulations which required such disclosure only when the offering was made to the public

their shares and some have issued voting policies and disclose their voting, as required by SEC regulations for asset managers. They occasionally vote against management. Companies produce complete

to strengthen compliance Promote transparency in the initial public offering (IPO) share allocation process ● Required issuers to disclose their allocation methodology and clearly identify in the

widely used as fund-mobilizing devices without any requirements to disclose information to the public. This however leads to a problem of investors lacking necessary information to study, analyze, and

Annual Report 2007 Securities and Exchange Commission, Thailand ANNUAL REPORT 2007 Corporate social responsibility is the continuing commitment by business to behave ethically and contribute to economic development while improving the quality of life of the workforce and their families as well as of the local community and society at large. (WBCSD Stakeholder Dialogue on CSR, The Netherlands, Sept 6-8, 1998) C o n t e n t s Corporate Review Capital Market Review Action Plan and Events Achievemen...