Governance As an agency with missions for promoting, developing and supervising the capital market, the SEC strives to ensure transparency and credibility of our own operation as well as fairness to all
Regulations SHARE : Detail Content Enforcement The SEC is a regulatory body that carries a mission to develop and supervise the Thai capital market to ensure efficiency, fairness, transparency, and
corporate transparency requirements for listed companies. Positive results on this topic promote investors' confidence which would benefit businesses, the capital market and Thai economy. The index and
corporate transparency requirements for listed companies. Positive results on this topic promote investors' confidence which would benefit businesses, the capital market and Thai economy. The index and
and financial policy transparency, and anti-money laundering. Thailand participated in the FSAP review on a voluntary basis for the first time in 2008 and the second time during 2018-2019. These
and financial policy transparency, and anti-money laundering. Thailand participated in the FSAP review on a voluntary basis for the first time in 2008 and the second time during 2018-2019. These
Handling Procedure Samples of Documents or Evidence Matters under Supervision of Other Laws Whistleblower Inquiries Complaint Forms Complaints / Whistleblowers Matters under the SEC
which case a special committee will be appointed to consider the case and conduct an investigation to ensure transparency and fairness. Complaint Against SEC Complaint / Inquiries SEC Complaint Form SEC
• Mutual Fund Management ○ Advertising ○ Procedure for Incorrect Pricing ○ Procedure for the default by Issuer ○ Transaction with Connected Person ○ Liquidation ○ NAV Calculation
• Mutual Fund Management ○ Advertising ○ Procedure for Incorrect Pricing ○ Procedure for the default by Issuer ○ Transaction with Connected Person ○ Liquidation ○ NAV Calculation