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
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
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
. 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
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
being an organization that seek to supervise and develop the Thai capital market towards efficiency, fairness, transparency, and integrity. ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ [ Message from the Secretary
Report on the Observance of Standards and Codes (ROSC) CORPORATE GOVERNANCE COUNTRY ASSESSMENT Thailand JANUARY 2013 Report on the Observance of Standards and Codes (ROSC) CORPORATE GOVERNANCE COUNTRY ASSESSMENT Thailand January 2013 Acknowledgements This assessment of corporate governance in Thailand has been prepared by David Robinett, Ratchada Anantavrasilpa, and Catherine Hickey of the World Bank Global Capital Markets Practice, as part of the Reports on Observance of Standards and Codes Pro...
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
intermediaries and those who transact with digital assets, and lessen chance for people on deception or be at disadvantages as well as allow the public sector to have tools to monitor https://www.sec.or.th/EN
and those who transact with digital assets, and lessen chance for people on deception or be at disadvantages as well as allow the public sector to have tools to monitor https://www.sec.or.th/EN/Pages