mutual funds and provident funds, in their written policies, to exercise their votes to ensure a high standard of corporate governance in the companies in which they invested Preparing the Thai Capital
shareholder). Many of these transactions facilitate normal day-to-day business of the business group and might be economically efficient. Examples of such transactions are sale or purchase of goods, and
impede staff operation. All departments were required to set up their separate contingency plan to alleviate the impacts of such emergencies and ensure normal and continual operation of businesses in the
Entities in order to Ensure Confidence of the Investing Public ■ Supervision of Market Intermediaries ■ Inspection of Listed Companies and Market Intermediaries ■ Regulation and Law Enforcement G OA L 4
systems to ensure continuity of business and a timely resumption to normal operations. The SEC also examined the SET's policies and procedures on BCP and business continuity management (BCM) adopting as the
or through mutual agreements. The chapter also supports stakeholders’ access to information on a timely and regular basis and their rights to obtain redress for violations of their rights. V
capital market supervision is crucial and necessary. The regulations under this Notification set a standard for operation of securities clearing houses and central securities depositories so that their
Other Related Entities in order to Ensure Confidence of the Investing Public ● Supervision of Market Intermediaries - Securities Companies - Asset Management Companies - Inspection - Supervision of those
: International standards on Auditing iSQC: International standard on Quality control KPi: key performance indicators mAi: market for Alternative Investment md: managing director; in practice, ceo is generally used
obligation of the SEC as prescribed by the Securities and Exchange Act. The SEC has the responsibility to issue rules and regulations, ensure compliance and pursue enforcement in case of violations. Despite