cooperated with the Association of Securities Companies in its issuance of the code of conduct on relationship with clients. Brokers must closely monitor clients’ trades and ensure the quality of advice given
the Board. She obtained a B.A. and an M.A. in Economics from Keio University, Japan and a Ph.D. in Economics from Washington University, USA. She was Deputy Governor, Financial Institutions Policy Group
Under the SEA, the SEC has the duty to promote, develop and supervise the Thai capital market to ensure reliability, transparency and fairness for all parties concerned. In fulfilling this mission, the
development by enhancing the performance of companies and increasing their access to outside capital. The OECD Principles of Corporate Governance provide the framework for the work of the World Bank Group in
Agency ● Internal Management 57 Board of the SEC 58 Appellate Committee 59 Sub-committees and Steering Group 66 Arbitrators 67 Executives Officers 68 Capital Market Performance 2001-2003 72 Investigation
services to an indirect client (tiered participant) who is a juristic person, securities clearing houses and central securities depositories shall also supervise and monitor potential risks of these members
being an organization that seek to supervise and develop the Thai capital market towards efficiency, fairness, transparency, and integrity. ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ [ Message from the Secretary
the necessary resources and experienced personnel in order to be able to supervise the operations of the delegated persons, and to formulate the policy in the delegation of other persons to operate a
Stability Board’s (FSB) Key Standards for Sound Financial Systems serving FSB, G20 and OECD members. They have also been used by the World Bank Group in more than 60 country reviews worldwide. And they
as a tool in the commission of crime and to supervise digital asset custodial wallet provider https://www.sec.or.th/EN/Pages/PB_Detail.aspx?SECID=691 SEC public hearing on proposed amendments to