depositories, which are financial market infrastructures, to deploy effective and secure risk management systems, provide services in a transparent and fair manner, and operate appropriately and correspond with

of disputes. A. Basic shareholder rights should include the right to: 1) secure methods of ownership registration; 2) convey or transfer shares; 3) obtain relevant and material information on the

choose a default investment plan for members, for example, a life path-oriented plan that would adjust members? investment portfolios automatically and appropriately as they approach the retirement age

transparent.  The state should exercise its rights as a shareholder actively and in the best interests of the company.  Asian economies should adopt a comprehensive approach to monitoring and curbing related

practical knowledge and skills in the area of securities law enforcement; ë Risk-Based Approach Supervision Seminar - an in-house training for the SEC staff with guest speakers from the UK Financial Services

ทอ้นถึง exposure สูงสุดที1อาจเกิดขึนได ้ (4) การคาํนวณ commitment approach ซึ1 งสามารถให ้netting ระหวา่ง derivative หรือ asset ที1เป็น underlying เดียวกนันัน ควรใหส้ามารถ https://capital.sec.or.th

to allocate their savings into investment properly Increase institutional investors as a vehicle to expand wider groups of investors SCE_Eng_p.17-32 10/29/04, 1:07 AM17 18 ● Adopted risk-based approach

capital market. The SEC employs a collaborative approach to build relationships with and ensure engagement of relevant stakeholders. (2) Define clear intended outcomes within the scope of the SEC’s

pass this test and strive forward to deliver material and measurable accomplishments. As the market regulator, the SEC shall proceed to secure investors' confidence, build efficient and reliable markets

of the Attorney General (OAG) for criminal prosecution.     In enforcing the law using the above channels, the SEC takes the due process approach based on legal principles and available evidence while