Information ● Supervision of Professionals Who Provide Information for Investors ● Development of Laws or System to Enhance Investorûs Rights 41 GOAL 3 Promote Integrity of the Market, Intermediaries, and All
decision on appropriate forms of alliance with foreign counterparts to support future trading linkage;2. Supervision of Securities Business: Licensing provisions would be amended to grant the Securities and
provide effective oversight and investigative capacity which will need to be appropriately funded. The ability to attract staff on competitive terms will enhance the quality and independence of supervision
Information Technology for the Benefits of the Capital Market Promoting the Issuance of a Variety of Financial Instruments so that They can Serve the Fund-Raising Need of Businesses and at the Same Time Provide
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
Sector Assessment Program (FSAP) in 2007. While the roadmap to securities business liberalization progresses along its path, so will the market supervision and development. We truly hope to see further
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
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
new businesses under supervision Presently, supervising “ digital asset businesses” under the royal decree on digital asset businesses, B.E. 2561 cover three business groups: digital asset exchange