Appellate Committee 70 Sub-committees 76 Other Committee and Steering Groups 78 Arbitrators 79 Procedure for Investigation of Possible Contraventions of the SEC Act and Criminal Action 81 Financial Statements
compliance with proper standards of practices and ethical code of conduct ● Developed law or system to enhance investorsû rights and protection such as trust law, class action, and arbitration procedure
fair and orderly markets, ensure regulatory convergence with international standards and improve efficiency of information disclosure of securities issuers in compliance with good corporate governance
Department is in charge of reviewing the SEC's compliance and giving advice on how to improve the internal control system. For operational independence, the department is subject to direct reporting to the
Arbitration Procedures Investigation of Possible Contraventions of the SEC Act B.E. 2535 (1992), Procedure for Investigation, and Criminal Action Procedure Summary of Settlement and Legal Actions in the Year
stakeholders, the SEC implements the following procedure: · To assess the importance of matters to be under preventive regulations without which the reliability or efficiency of the capital market
stakeholders, the SEC implements the following procedure: · To assess the importance of matters to be under preventive regulations without which the reliability or efficiency of the capital market
recommendations to improve corporate governance. Based on the OECD Principles of Corporate Governance, the White Paper adapted implementation aspects to the specific conditions of Asia. The White Paper assessed
of Good Corporate Governance for listed companies, and a new banking act and supporting regulation to improve bank corporate governance. The amendments to the SEA included clearer duties for directors
.......................................................... 51 G20/OECD PRINCIPLES OF CORPORATE GOVERNANCE © OECD 2015 9 About the Principles The Principles are intended to help policy makers evaluate and improve the legal, regulatory, and institutional