Thailand: Financial Sector Assessment Program: Detailed Assessment on the Implementation of the IOSCO Objectives and Principles of Securities Regulation

May 15, 2009

Preview Citation

Format: Chicago

Thailand: Financial Sector Assessment Program: Detailed Assessment on the Implementation of the IOSCO Objectives and Principles of Securities Regulation, (USA: International Monetary Fund, 2009) accessed September 18, 2024

Summary

This paper presents key findings of the detailed assessment on the implementation of the International Organization of Securities Commissions (IOSCO) objectives and principles of securities regulation for Thailand. The assessment recommends creating a formal coordination mechanism among governmental agencies with regulatory authority over capital markets. The Securities and Exchange Commission (SEC) should amend its code of conduct and provide that restrictions on securities investments by its staff also applies to spouses, minor children, and all other accounts over which an employee has the authority to make investment decisions.

Subject: Auditing, Financial institutions, Legal support in revenue administration, Mutual funds, Public financial management (PFM), Revenue administration, Securities, Stocks

Keywords: Auditing, Business operation, Company assets, CR, Equity trading, Insider trading, Internal auditor, ISCR, Legal support in revenue administration, Mutual funds, SEC disclosure system, SEC regulation, SEC staff, SEC tape recording rule, Securities, SET regulation, Shareholder meeting, Stocks, Tender offer

Publication Details

Pages:

46
Volume:

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DOI:

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Issue:

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Series:

Country Report No. 2009/148
Stock No:

1THAEA2009002
ISBN:

9781451836875
ISSN:

1934-7685

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