derivatives business operators is determined by the types of license packages, each permitting a scope of various business undertakings. For example, Type A Securities Business License requires the minimum paid
implementation of appropriate risk management and resource allocation by their board of directors and executives that is practical and meets the standards established by an international organization concerning
within the scope of the regulator’s statutory authority, while considering all relevant factors. 3 Statement of Intent (2017) 4. Strategic priorities To achieve the legislative intent, the SEC’s vision
Risk Management ● Development of Debt Instruments ● Development of New Financial Instruments ● Promotion of Issuance of Non-Voting Depositary Receipt (NVDR) Achieving Efficiency for the Secondary Market
confidentiality and data protection. The SEC has put in place internal procedures to ensure that its exercise of powers and duties are consistently applied. Operational Risk Management The SEC has developed its
Privacy Policy Personal Data Protection Policy for Internal Administration (Website) The Office of the Securities and Exchange Commission (SEC Office) 0. Scope of this Policy This Personal Data
governance practices have led to significant increases in economic value added (EVA) of firms, higher productivity, and lower risk of systemic financial failures for countries. The Corporate Governance ROSC
achieved continual growth despite the emergence and persistence of multiple risk factors such as higher oil prices, global economic slowdown especially in trade alliance countries, exchange rate volatility
financial instruments, risk management tools to support capital market development for business sectors, and greater investment alternatives for the public. These efforts have been driven concurrently with
Important Tool for Risk Management ■ Development of Debt Instrument Market ■ Amendment to the Public Limited Company Act B.E. 2535 (1992) to Help with the Capital Structure of Listed Companies ■ The Use of