compliance of listed firms, and enforcement capacity vis-à-vis the OECD Principles. > The assessments are standardized and systematic, and include policy recommendations and a model country action plan. In

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 attendance list is shown on page 14. Policy and Implementation 1. Corporate Governance Policy Established upon the enactment of the SEC Act, the SEC has the duty to promote, develop and supervise

Technology, USA. His previous positions include Deputy Minister of Finance, Acting Minister of Finance and Governor of the Bank of Thailand. He is Chairman of the Executive Board of Krung Thai Bank Plc. Mr

will closely coordinate with the SET to monitor stock trading activities and solve the problem in advance. Another aspect of the supervisory task is to improve risk management procedures of securities

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

shareholder meeting in key company decisions. The chapter also deals with disclosure of control structures, such as different voting rights. New issues in this chapter include the use of information technology

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

protection from expropriation by controlling shareholders, they have had mixed success. Additional measures that might be adopted include: (i) ensuring that regulators have the capacity to monitor companies in