doing, the association must acquire a license and register with the SEC. The SEC supervises the operation of the associations to ensure that the association oversees the members, and carries out the
Regulate About Us SHARE : Detail Content How We Regulate The SEC supervises and regulates the capital markets under following laws: The law on securities and exchange; The law governing
integrity. The SEC also oversees regulatory compliance and enforces the governing laws to ensure that the capital market will be developed toward sustainable growth and generate positive impacts on the
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
Board Our Structure SHARE : Detail Content SEC Board The SEC Board oversees the overall capital market and formulates policies for promotion and development under the Securities and
departmental manager and oversees the Accounting and Finance Department directly, whether or not the departmental manager of such companies should be considered as “executive". In response to the aforesaid
. The SEC considers qualifications of securities issuers and supervises the disclosure of information in order for the investors to have sufficient information in making an investment decision
person whose title is departmental manager. Specifically, if the CFO in some companies holds higher position than departmental manager and oversees the Accounting and Finance Department directly, whether
. Such disclosure of information is a driver of self-discipline and encourages issuers to pay more attention to matters subject to the disclosure rules. · The SEC monitors and supervises material
SET's operations and will be a director, ex officio. The SEC supervises SET which covers the following three areas: The conduct of other businesses must be approved by the SEC Board. Issuance of rules