well as the persons who commit offenses as prescribed by the acts/royal decrees under the power and duties of the SEC Office. 1. Personal data collected by the SEC Office: The SEC Office collects the
capital market supervision is crucial and necessary. The regulations under this Notification set a standard for operation of securities clearing houses and central securities depositories so that their
and active in enforcing the various rules and requirements under their jurisdiction. The State Enterprise Policy Office (SEPO) has continued its efforts to improve the governance of state owned
procedures on risk management as summarized below: (1) Established the Risk Management Division under the Research and Development Department to be responsible for formulating risk management policies, action
of interest. Under these guidelines, it is advised that the Board members should not be appointed as members of more than four sub- committees or steering groups to ensure efficiency of duty
as various market organisations to put forward new important initiatives under the “Capital Market Development Master Plan”. These initiatives included introducing special tax measures and simplified
the execution of electronic transactions which would be deemed as fully legitimate as normal transactions, for example, transactions related to businesses under the SEC supervision, subscription
2001 under the SEC Act B.E. 2535 (1992), the Provident Fund Act B.E. 2530 (1987), and the Provident Fund Act (No. 2) B.E. 2542 (1999) Criminal Proceedings on Major Cases during 1993 - 2001 International
share- holders (through what is known as 'tunnelling' 3 ), or misrepresenting an individual company's financial statements (of particular concern where the company is under pressure to meet expectations
arbitral process under the Derivatives Act B.E. 2546 (2003) in addition to the arbitral process under the Securities and Exchange Act B.E. 2535 (1992), it is deemed necessary to improve the processes and