empowered to achieve financial well-being. To deliver this objective, the SEC is compelled to adapt and refine its strategy and operations to effectively address the challenges and issues that have arisen
appropriate level of risks. To achieve such a goal, the SEC believes that investing in activities with emphasis on sustainability strategies, good governance and accountability to the society and environment
. ● Documents relating to settlement / cash deposit to or withdrawal from a trading account, for instance: Bank statements used for ATS trading Deposit/withdrawal/transfer slip for purchasing securities
public and private sectors. Creating collaboration among all agencies in terms of concerted efforts to achieve the mission for well-being of the public. Our Roles How We Regulate SEC Working Principles
achieve the national missions within the scope of assigned authority and under the related laws. Our Roles How We Regulate SEC Working Principles Our Policies Signatory of Investment Government Code (I
achieve three core objectives of securities regulations: (1) protecting investors, (2) ensuring that markets are fair, efficient and transparent, and (3) reducing systemic risks. IOSCO Principles comprise
account, pay-in slip, transfer-deposit-withdrawal slips, statement report, solicitation documents/contracts, and a certified copy of personal checks and other evidence relevant to and useful for the SEC
Thailand, the ASEAN Finance Ministers endorsed the ACMF’s Implementation Plan 2009 - 2015 to promote the development of an integrated capital market to achieve the objectives of the AEC Blueprint 2015. The