maintain the readiness of important systems of securities clearing houses and central securities depositories so that they can operate continuously; (5) disclosure of information in a clear, transparent, and
who are in Contact with Investors ● Mutual Fund Management Business ● Revision of Rules on Securities Underwriting ● Law Enforcement 52 GOAL 4 Preserve Market Fairness and Transparency, Understand
Preserve Market Fairness and Transparency, Understand Industry, and be a Firm and Fair Regulator [ MESSAGE FROM THE CHAIRMAN ] (Mr. Somk id Ja tus r ip i t ak ) Cha i rman [ Message from the Chairman ]4
formulating the structure and scope of responsibilities of sub-committees and steering groups, the Board employs a check and balance system and corporate governance principles to prevent conflicts of interest
effective protection against retaliation for employees who report problems and abuses. To preserve and promote reputational goodwill, board members (and policy-makers) should not only take into account the
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
asset business, and the requirement that any business operator that cannot maintain its net capital to meet the criteria must cease its business operation immediately in order to prevent any damage to
, including market intermediaries and listed companies.1 The SEC and capital markets are governed by the Securities and Exchange Act 1992 (SEA). The SEA has a wide-ranging scope and was amended in 2008 to
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
Capital Market to Ensure Efficiency, Fairness, Transparency and Integrity”, under which it is entrusted with 4 major policy objectives : (1) maintain fairness in the financial market, (2) develop and