“whistle blowers” in providing information on corporate fraud or embezzlement ● Monitor audit committee statements in listed company annual reports Enlarge the roles of institutional investors ● Require
use. ---------------------- Notification of the Office of the Securities and Exchange Commission Re: Arbitral Process Organized by the Office _____________ With regard to the Office’s providing of the
. ---------------------- Notification of the Office of the Securities and Exchange Commission Re: Arbitral Process Organized by the Office _____________ With regard to the Office’s providing of the arbitral process under the Derivatives
Office of the Securities and Exchange Commission Re: Arbitral Process Organized by the Office _____________ With regard to the Office’s providing of the arbitral process under the Derivatives Act B.E. 2546
Clearing Houses and Central Securities Depositories __________________ Clause 14 When providing services concerning securities clearing and settlement, or deposit of securities to members who provide
] Legal Group • responsible for providing legal advice on rulemaking and keeping up to date with legal developments. Enforcement Group • responsible for monitoring and investigating unfair securities
public hearing before issuing regulations and publicly disclose the results of such hearings; Providing communication channels for stakeholders and a complaint handling mechanism; Disclose the
providing information both internally and externally. Internally, the goal is to build a system where executives can get access to information crucial to their decision-making. Externally, the SEC keeps
framework for corporate governance, with a view to support economic efficiency, sustainable growth and financial stability. This is primarily achieved by providing shareholders, board members and executives
a pioneer in providing training to directors and through its Corporate Governance Report, introduced one of the first and most successful corporate governance scorecards in an emerging market economy