transfers capital between businesses that need funding both in the public and private sectors with the saving parties who want to invest. This has effectively increased a diversity of alternatives in fund
and medium-term objectives, goals, strategies, and plans are consistent with the long-term objectives, while utilising innovation and technology effectively. Principle 1 | 2 | 3 | 4 | 5 | 6
shareholders have the opportunity to participate effectively in decision-making involving significant corporate matters. Principle 8.2 The board should ensure that the shareholders’ meetings are held as
will yield good returns and will effectively reinforce the SEC's financial stability Announcement of signatory Investment Governance Code (I Code)(Thai Version Only) Our Roles How We Regulate SEC
and responsibilities effectively. Principle 3.6 The board should ensure that the company’s governance framework and policies extend to and are accepted by subsidiaries and other businesses in which it
should ensure that management allocates and manages resources efficiently and effectively throughout all aspects of the value chain to enable the company to meet its objectives. Principle 5.4 The board
law and standards. Principle 6.2 The board shall establish an audit committee that can act effectively and independently. Principle 6.3 The board should manage and monitor conflicts of interest that
notification is implemented/enforced practically, transparently and effectively. 10. Seek approval from SEC Board/CMSB/SEC Office before the notifications become effective * 11. Publicly disclose in the
empowered to achieve financial well-being. To deliver this objective, the SEC is compelled to adapt and refine its strategy and operations to effectively address the challenges and issues that have arisen
that the organization structure of is designed or efficient measures installed to prevent conflicts of interests effectively. (2) Where the person appointed as a fund manager is an employee of the