Investor Return – Mind the Gap ©2015 Morningstar, Inc. All rights reserved. Kittikun Tanaratpattanakit Investor Return – Mind the Gap Agenda 2 gBackground g The Real Test is Whether Investors Succeed
of more stringent supervision in line with international standards as well as international recognition of the SEC’s auditor supervision are increasing investor confidence in financial reports and
Sector Assessment Program (FSAP) in 2007. While the roadmap to securities business liberalization progresses along its path, so will the market supervision and development. We truly hope to see further
education among target groups to expand competent investor bases. At the beginning of the year, the SEC restructured i ts organization to facilitate the implementation of the Capital Market Development Master
countries. Key factors underlying MR include equivalence of regulatory standards and supervision as well as cooperative mechanisms and investor recourse. 4. Facilitating access to ASEAN exchanges Through the
currently under consideration of the Fiscal Policy Office, Ministry of Finance. Strengthening supervision and corporate governance To enhance investor protection and confidence, the SEC imposed a number of
approval for investor contacts enclosed herewith. Please be informed and act accordingly. Yours faithfully, -Signature- (Mr. Thirachai Phuvanatnaranubala) Secretary-General Investment Adviser Supervision
) Secretary-General Investment Adviser Supervision Department Tel: 0-2263-6071 Fax: 0-2263-6332 Encl: Guidelines for renewal of approval for investor contacts Cc: Chairman, Association of Securities Companies
. However, the SEC will continue monitoring relevant developments, supervision, and actions in various aspects to ensure that effective investor protection measures will be in place before further developing
regulations regarding internal administration or as prescribed by the SEC, the SET must arrange a hearing for members, investor or stakeholders, and get approval by the SEC. 3. Supervision of the Securities