Protection Policy applies to the business operators who have been licensed by the SEC Office, the market professionals who have been approved by the SEC Office, other persons approved by the SEC Office, as
our promotion of overseas investments, strengthened enforcement on insider trading, share manipulation, executive misconducts, accounting frauds, false documentation of securities issuance and offering
share- holders (through what is known as 'tunnelling' 3 ), or misrepresenting an individual company's financial statements (of particular concern where the company is under pressure to meet expectations
responsibility to supervise such funds by providing that they are securities businesses, and thus requiring to be licensed from the SEC. At present, the Ministerial Regulation enabling the application for licenses
% 60% 40% 20% 0% Market Participants Financial Institutions (Licensed Dealers and Non Licensed Dealers) 38.5% Contractual Saving Funds 12.5% Mutual Funds 19.2% Insurance Companies 3.2% 115 110 105 100
all to understand and consider the issue as a priority. Those involved in the capital market must walk together into the right direction, share the same goal and be ready to turn to each other for
accounting expert member of the Board. He was Auditor General of the Office of the Auditor General of Thailand and President of the Institute of Certified Accountants and Auditors of Thailand in 1997. He
house” means any licensed derivatives clearing house according to the law on derivatives; “central securities depository” means any central securities depository according to the law on securities and
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