Thailand Financial Sector Assessment Program : Implementation of the IOSCO Objectives and Principles of Securities Regulation
The responsibilities of the regulator should be clearly and objectively stated. The regulator should be operationally independent and accountable in the exercise of its functions and powers. The regulator should have adequate powers, proper resourc...
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| Format: | Report |
| Language: | English en_US |
| Published: |
Washington, DC
2017
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| Subjects: | |
| Online Access: | http://documents.worldbank.org/curated/en/446611468120872681/Thailand-Implementation-of-the-IOSCO-objectives-and-principles-of-securities-regulation-detailed-assessment-of-observance http://hdl.handle.net/10986/28232 |
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okr-10986-28232 |
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| recordtype |
oai_dc |
| repository_type |
Digital Repository |
| institution_category |
Foreign Institution |
| institution |
Digital Repositories |
| building |
World Bank Open Knowledge Repository |
| collection |
World Bank |
| language |
English en_US |
| topic |
ACCOUNTING ACCOUNTING STANDARD ACCOUNTING STANDARDS ALTERNATIVE INVESTMENT ASSET MANAGEMENT ASSET VALUE ASSETS UNDER MANAGEMENT AUDIT COMMITTEE AUDIT COMMITTEES AUDITOR AUDITOR INDEPENDENCE AUDITORS AUDITS BANKING LAWS BANKRUPTCY BANKRUPTCY LAW BID BOND BOND MARKET BROKER BROKER DEALER BROKER-DEALER BROKER-DEALERS BROKERAGE BROKERAGE ACCOUNTS BROKERAGE FIRM BROKERS CAPITAL ADEQUACY CAPITAL MARKET CAPITAL MARKET DEVELOPMENT CAPITAL MARKET REGULATION CAPITAL MARKETS CAPITAL REQUIREMENT CENTRAL BANK CIVIL LAW CIVIL PENALTIES CLASS ACTION COLLECTIVE INVESTMENT COLLECTIVE INVESTMENT SCHEME COLLECTIVE INVESTMENT SCHEMES COMPANY STOCK COMPANY STOCKS CONFIDENTIALITY CONFLICTS OF INTEREST CORPORATE DISCLOSURE CORPORATE FRAUD CORPORATE GOVERNANCE CREDITOR CREDITOR RIGHTS CUSTODY DEBT DEBT MARKET DEBT OFFERINGS DEBT SECURITIES DEBT SECURITY DEFAULT RISK DEPOSITS DERIVATIVE DERIVATIVES DISCLOSURE DISCLOSURE STANDARDS DISCLOSURE SYSTEM ELECTRONIC FUNDS ENFORCEMENT ACTION ENFORCEMENT ACTIONS ENFORCEMENT POWERS EQUITIES EQUITY INVESTMENTS EQUITY MARKET EQUITY SECURITIES EQUITY TRADING EXCHANGE COMMISSION FAIR MARKET VALUE FAIR VALUE FIDUCIARY DUTIES FIDUCIARY DUTY FINANCES FINANCIAL ADVISER FINANCIAL ADVISORS FINANCIAL INFORMATION FINANCIAL INSTITUTION FINANCIAL INSTITUTIONS FINANCIAL STATEMENTS FOREIGN CURRENCY FOREIGN INVESTORS FOREIGN MARKETS FRAUDS FUND DISCLOSURE FUND EXPENSES FUND MANAGEMENT FUND MANAGERS FUND SHAREHOLDERS FUND UNITS FUTURES FUTURES EXCHANGE GOVERNMENT DEBT GOVERNMENT OWNERSHIP GOVERNMENT REGULATION GROSS DOMESTIC PRODUCT GROSS SETTLEMENT SYSTEM GROUPS OF INVESTORS HOLDING HOLDINGS INDIVIDUAL SECURITIES INDIVIDUAL STOCK INITIAL PUBLIC OFFERING INSIDE INFORMATION INSIDER INSIDER TRADING INSIDERS INSTITUTIONAL INVESTORS INSURANCE INTERNAL AUDIT INTERNATIONAL BANK INTERNATIONAL STANDARDS INVESTMENT ADVISERS INVESTMENT ADVISORS INVESTMENT CLIMATE INVESTMENT DECISIONS INVESTMENT MANAGEMENT INVESTMENT MANAGEMENT COMPANIES INVESTMENT RESTRICTIONS INVESTMENT STRATEGY INVESTOR CONFIDENCE INVESTOR EDUCATION INVESTOR FUNDS IPO ISSUANCE LEGAL AUTHORITY LEGAL JURISDICTION LEGAL PROTECTION LIABILITY MARKET FAILURES MARKET INTERMEDIARIES MARKET INTERMEDIARY MARKET MANIPULATION MARKET OVERSIGHT MARKET PARTICIPANTS MARKET PRICE MARKET SHARES MARKET SURVEILLANCE MARKET TRANSPARENCY MONETARY FUND MUTUAL FUND MUTUAL FUND ASSETS MUTUAL FUND MANAGEMENT MUTUAL FUNDS NAV NET ASSET NET ASSET VALUE OPEN-END FUNDS PENSION PORTFOLIO PORTFOLIO HOLDINGS POTENTIAL INVESTORS PRICE MOVEMENTS PRIVATE AUDITING PRIVATE RATING AGENCIES PROSPECTUS PROVIDENT FUNDS PRUDENTIAL STANDARD PUBLIC INFORMATION QUARTERLY FINANCIAL STATEMENTS REAL-TIME MARKET REDEMPTION REDEMPTION OF UNITS REGISTRATION STATEMENT REGULATORY AUTHORITY REGULATORY OVERSIGHT REGULATORY STANDARDS REGULATORY SYSTEM RISK FACTORS RISK MANAGEMENT RISK MANAGEMENT SYSTEMS SECONDARY MARKET SECURITIES SECURITIES COMMISSIONS SECURITIES DEALERS SECURITIES DEPOSITORY SECURITIES EXCHANGES SECURITIES FIRM SECURITIES FIRMS SECURITIES INVESTMENTS SECURITIES LAW SECURITIES LAWS SECURITIES MARKETS SECURITIES REGISTRATIONS SECURITIES REGULATION SECURITIES TRANSACTIONS SELF-REGULATION SETTLEMENT SHARE PRICE SHAREHOLDER SHAREHOLDER APPROVAL SHAREHOLDER RIGHTS SHAREHOLDERS SMALL CAP STOCK EXCHANGE STOCK MARKET STOCK OPTION STOCK TRADING STOCKS SYSTEMIC RISK SYSTEMIC RISKS TANGIBLE ASSETS TAX TAX LAW TRADING TRADING SURVEILLANCE TRADING SYSTEM TRADING SYSTEMS TRADING VOLUMES TRANSACTION TRANSPARENCY TRUSTEE TURNOVER UNDERWRITER VALUABLE ASSET VALUATION VALUATION PROCESS WARRANTS WITHDRAWAL |
| spellingShingle |
ACCOUNTING ACCOUNTING STANDARD ACCOUNTING STANDARDS ALTERNATIVE INVESTMENT ASSET MANAGEMENT ASSET VALUE ASSETS UNDER MANAGEMENT AUDIT COMMITTEE AUDIT COMMITTEES AUDITOR AUDITOR INDEPENDENCE AUDITORS AUDITS BANKING LAWS BANKRUPTCY BANKRUPTCY LAW BID BOND BOND MARKET BROKER BROKER DEALER BROKER-DEALER BROKER-DEALERS BROKERAGE BROKERAGE ACCOUNTS BROKERAGE FIRM BROKERS CAPITAL ADEQUACY CAPITAL MARKET CAPITAL MARKET DEVELOPMENT CAPITAL MARKET REGULATION CAPITAL MARKETS CAPITAL REQUIREMENT CENTRAL BANK CIVIL LAW CIVIL PENALTIES CLASS ACTION COLLECTIVE INVESTMENT COLLECTIVE INVESTMENT SCHEME COLLECTIVE INVESTMENT SCHEMES COMPANY STOCK COMPANY STOCKS CONFIDENTIALITY CONFLICTS OF INTEREST CORPORATE DISCLOSURE CORPORATE FRAUD CORPORATE GOVERNANCE CREDITOR CREDITOR RIGHTS CUSTODY DEBT DEBT MARKET DEBT OFFERINGS DEBT SECURITIES DEBT SECURITY DEFAULT RISK DEPOSITS DERIVATIVE DERIVATIVES DISCLOSURE DISCLOSURE STANDARDS DISCLOSURE SYSTEM ELECTRONIC FUNDS ENFORCEMENT ACTION ENFORCEMENT ACTIONS ENFORCEMENT POWERS EQUITIES EQUITY INVESTMENTS EQUITY MARKET EQUITY SECURITIES EQUITY TRADING EXCHANGE COMMISSION FAIR MARKET VALUE FAIR VALUE FIDUCIARY DUTIES FIDUCIARY DUTY FINANCES FINANCIAL ADVISER FINANCIAL ADVISORS FINANCIAL INFORMATION FINANCIAL INSTITUTION FINANCIAL INSTITUTIONS FINANCIAL STATEMENTS FOREIGN CURRENCY FOREIGN INVESTORS FOREIGN MARKETS FRAUDS FUND DISCLOSURE FUND EXPENSES FUND MANAGEMENT FUND MANAGERS FUND SHAREHOLDERS FUND UNITS FUTURES FUTURES EXCHANGE GOVERNMENT DEBT GOVERNMENT OWNERSHIP GOVERNMENT REGULATION GROSS DOMESTIC PRODUCT GROSS SETTLEMENT SYSTEM GROUPS OF INVESTORS HOLDING HOLDINGS INDIVIDUAL SECURITIES INDIVIDUAL STOCK INITIAL PUBLIC OFFERING INSIDE INFORMATION INSIDER INSIDER TRADING INSIDERS INSTITUTIONAL INVESTORS INSURANCE INTERNAL AUDIT INTERNATIONAL BANK INTERNATIONAL STANDARDS INVESTMENT ADVISERS INVESTMENT ADVISORS INVESTMENT CLIMATE INVESTMENT DECISIONS INVESTMENT MANAGEMENT INVESTMENT MANAGEMENT COMPANIES INVESTMENT RESTRICTIONS INVESTMENT STRATEGY INVESTOR CONFIDENCE INVESTOR EDUCATION INVESTOR FUNDS IPO ISSUANCE LEGAL AUTHORITY LEGAL JURISDICTION LEGAL PROTECTION LIABILITY MARKET FAILURES MARKET INTERMEDIARIES MARKET INTERMEDIARY MARKET MANIPULATION MARKET OVERSIGHT MARKET PARTICIPANTS MARKET PRICE MARKET SHARES MARKET SURVEILLANCE MARKET TRANSPARENCY MONETARY FUND MUTUAL FUND MUTUAL FUND ASSETS MUTUAL FUND MANAGEMENT MUTUAL FUNDS NAV NET ASSET NET ASSET VALUE OPEN-END FUNDS PENSION PORTFOLIO PORTFOLIO HOLDINGS POTENTIAL INVESTORS PRICE MOVEMENTS PRIVATE AUDITING PRIVATE RATING AGENCIES PROSPECTUS PROVIDENT FUNDS PRUDENTIAL STANDARD PUBLIC INFORMATION QUARTERLY FINANCIAL STATEMENTS REAL-TIME MARKET REDEMPTION REDEMPTION OF UNITS REGISTRATION STATEMENT REGULATORY AUTHORITY REGULATORY OVERSIGHT REGULATORY STANDARDS REGULATORY SYSTEM RISK FACTORS RISK MANAGEMENT RISK MANAGEMENT SYSTEMS SECONDARY MARKET SECURITIES SECURITIES COMMISSIONS SECURITIES DEALERS SECURITIES DEPOSITORY SECURITIES EXCHANGES SECURITIES FIRM SECURITIES FIRMS SECURITIES INVESTMENTS SECURITIES LAW SECURITIES LAWS SECURITIES MARKETS SECURITIES REGISTRATIONS SECURITIES REGULATION SECURITIES TRANSACTIONS SELF-REGULATION SETTLEMENT SHARE PRICE SHAREHOLDER SHAREHOLDER APPROVAL SHAREHOLDER RIGHTS SHAREHOLDERS SMALL CAP STOCK EXCHANGE STOCK MARKET STOCK OPTION STOCK TRADING STOCKS SYSTEMIC RISK SYSTEMIC RISKS TANGIBLE ASSETS TAX TAX LAW TRADING TRADING SURVEILLANCE TRADING SYSTEM TRADING SYSTEMS TRADING VOLUMES TRANSACTION TRANSPARENCY TRUSTEE TURNOVER UNDERWRITER VALUABLE ASSET VALUATION VALUATION PROCESS WARRANTS WITHDRAWAL International Monetary Fund World Bank Thailand Financial Sector Assessment Program : Implementation of the IOSCO Objectives and Principles of Securities Regulation |
| geographic_facet |
East Asia and Pacific Thailand |
| description |
The responsibilities of the regulator
should be clearly and objectively stated. The regulator
should be operationally independent and accountable in the
exercise of its functions and powers. The regulator should
have adequate powers, proper resources and the capacity to
perform its functions and exercise its powers. The regulator
should adopt clear and consistent regulatory processes. The
staff of the regulator should observe the highest
professional standards including appropriate standards of
confidentiality. The regulatory regime should make
appropriate use of Self-Regulatory Organizations (SROs) that
exercise some direct oversight responsibility for their
respective areas of competence, and to the extent
appropriate to the size and complexity of the markets. SROs
should be subject to the oversight of the regulator and
should observe standards of fairness and confidentiality
when exercising powers and delegated responsibilities. The
regulator should have comprehensive inspection,
investigation and surveillance powers. The regulator should
have comprehensive enforcement powers. The regulatory system
should ensure an effective and credible use of inspection,
investigation, surveillance and enforcement powers and
implementation of an effective compliance program. The
regulator should have authority to share both public and
non-public information with domestic and foreign
counterparts. Regulators should establish information
sharing mechanisms that set out when and how they will share
both public and non-public information with their domestic
and foreign counterparts. The regulatory system should allow
for assistance to be provided to foreign regulators who need
to make inquiries in the discharge of their functions and
exercise of their powers. |
| format |
Report |
| author |
International Monetary Fund World Bank |
| author_facet |
International Monetary Fund World Bank |
| author_sort |
International Monetary Fund |
| title |
Thailand Financial Sector Assessment Program : Implementation of the IOSCO Objectives and Principles of Securities Regulation |
| title_short |
Thailand Financial Sector Assessment Program : Implementation of the IOSCO Objectives and Principles of Securities Regulation |
| title_full |
Thailand Financial Sector Assessment Program : Implementation of the IOSCO Objectives and Principles of Securities Regulation |
| title_fullStr |
Thailand Financial Sector Assessment Program : Implementation of the IOSCO Objectives and Principles of Securities Regulation |
| title_full_unstemmed |
Thailand Financial Sector Assessment Program : Implementation of the IOSCO Objectives and Principles of Securities Regulation |
| title_sort |
thailand financial sector assessment program : implementation of the iosco objectives and principles of securities regulation |
| publisher |
Washington, DC |
| publishDate |
2017 |
| url |
http://documents.worldbank.org/curated/en/446611468120872681/Thailand-Implementation-of-the-IOSCO-objectives-and-principles-of-securities-regulation-detailed-assessment-of-observance http://hdl.handle.net/10986/28232 |
| _version_ |
1764466139390279680 |
| spelling |
okr-10986-282322021-04-23T14:04:47Z Thailand Financial Sector Assessment Program : Implementation of the IOSCO Objectives and Principles of Securities Regulation International Monetary Fund World Bank ACCOUNTING ACCOUNTING STANDARD ACCOUNTING STANDARDS ALTERNATIVE INVESTMENT ASSET MANAGEMENT ASSET VALUE ASSETS UNDER MANAGEMENT AUDIT COMMITTEE AUDIT COMMITTEES AUDITOR AUDITOR INDEPENDENCE AUDITORS AUDITS BANKING LAWS BANKRUPTCY BANKRUPTCY LAW BID BOND BOND MARKET BROKER BROKER DEALER BROKER-DEALER BROKER-DEALERS BROKERAGE BROKERAGE ACCOUNTS BROKERAGE FIRM BROKERS CAPITAL ADEQUACY CAPITAL MARKET CAPITAL MARKET DEVELOPMENT CAPITAL MARKET REGULATION CAPITAL MARKETS CAPITAL REQUIREMENT CENTRAL BANK CIVIL LAW CIVIL PENALTIES CLASS ACTION COLLECTIVE INVESTMENT COLLECTIVE INVESTMENT SCHEME COLLECTIVE INVESTMENT SCHEMES COMPANY STOCK COMPANY STOCKS CONFIDENTIALITY CONFLICTS OF INTEREST CORPORATE DISCLOSURE CORPORATE FRAUD CORPORATE GOVERNANCE CREDITOR CREDITOR RIGHTS CUSTODY DEBT DEBT MARKET DEBT OFFERINGS DEBT SECURITIES DEBT SECURITY DEFAULT RISK DEPOSITS DERIVATIVE DERIVATIVES DISCLOSURE DISCLOSURE STANDARDS DISCLOSURE SYSTEM ELECTRONIC FUNDS ENFORCEMENT ACTION ENFORCEMENT ACTIONS ENFORCEMENT POWERS EQUITIES EQUITY INVESTMENTS EQUITY MARKET EQUITY SECURITIES EQUITY TRADING EXCHANGE COMMISSION FAIR MARKET VALUE FAIR VALUE FIDUCIARY DUTIES FIDUCIARY DUTY FINANCES FINANCIAL ADVISER FINANCIAL ADVISORS FINANCIAL INFORMATION FINANCIAL INSTITUTION FINANCIAL INSTITUTIONS FINANCIAL STATEMENTS FOREIGN CURRENCY FOREIGN INVESTORS FOREIGN MARKETS FRAUDS FUND DISCLOSURE FUND EXPENSES FUND MANAGEMENT FUND MANAGERS FUND SHAREHOLDERS FUND UNITS FUTURES FUTURES EXCHANGE GOVERNMENT DEBT GOVERNMENT OWNERSHIP GOVERNMENT REGULATION GROSS DOMESTIC PRODUCT GROSS SETTLEMENT SYSTEM GROUPS OF INVESTORS HOLDING HOLDINGS INDIVIDUAL SECURITIES INDIVIDUAL STOCK INITIAL PUBLIC OFFERING INSIDE INFORMATION INSIDER INSIDER TRADING INSIDERS INSTITUTIONAL INVESTORS INSURANCE INTERNAL AUDIT INTERNATIONAL BANK INTERNATIONAL STANDARDS INVESTMENT ADVISERS INVESTMENT ADVISORS INVESTMENT CLIMATE INVESTMENT DECISIONS INVESTMENT MANAGEMENT INVESTMENT MANAGEMENT COMPANIES INVESTMENT RESTRICTIONS INVESTMENT STRATEGY INVESTOR CONFIDENCE INVESTOR EDUCATION INVESTOR FUNDS IPO ISSUANCE LEGAL AUTHORITY LEGAL JURISDICTION LEGAL PROTECTION LIABILITY MARKET FAILURES MARKET INTERMEDIARIES MARKET INTERMEDIARY MARKET MANIPULATION MARKET OVERSIGHT MARKET PARTICIPANTS MARKET PRICE MARKET SHARES MARKET SURVEILLANCE MARKET TRANSPARENCY MONETARY FUND MUTUAL FUND MUTUAL FUND ASSETS MUTUAL FUND MANAGEMENT MUTUAL FUNDS NAV NET ASSET NET ASSET VALUE OPEN-END FUNDS PENSION PORTFOLIO PORTFOLIO HOLDINGS POTENTIAL INVESTORS PRICE MOVEMENTS PRIVATE AUDITING PRIVATE RATING AGENCIES PROSPECTUS PROVIDENT FUNDS PRUDENTIAL STANDARD PUBLIC INFORMATION QUARTERLY FINANCIAL STATEMENTS REAL-TIME MARKET REDEMPTION REDEMPTION OF UNITS REGISTRATION STATEMENT REGULATORY AUTHORITY REGULATORY OVERSIGHT REGULATORY STANDARDS REGULATORY SYSTEM RISK FACTORS RISK MANAGEMENT RISK MANAGEMENT SYSTEMS SECONDARY MARKET SECURITIES SECURITIES COMMISSIONS SECURITIES DEALERS SECURITIES DEPOSITORY SECURITIES EXCHANGES SECURITIES FIRM SECURITIES FIRMS SECURITIES INVESTMENTS SECURITIES LAW SECURITIES LAWS SECURITIES MARKETS SECURITIES REGISTRATIONS SECURITIES REGULATION SECURITIES TRANSACTIONS SELF-REGULATION SETTLEMENT SHARE PRICE SHAREHOLDER SHAREHOLDER APPROVAL SHAREHOLDER RIGHTS SHAREHOLDERS SMALL CAP STOCK EXCHANGE STOCK MARKET STOCK OPTION STOCK TRADING STOCKS SYSTEMIC RISK SYSTEMIC RISKS TANGIBLE ASSETS TAX TAX LAW TRADING TRADING SURVEILLANCE TRADING SYSTEM TRADING SYSTEMS TRADING VOLUMES TRANSACTION TRANSPARENCY TRUSTEE TURNOVER UNDERWRITER VALUABLE ASSET VALUATION VALUATION PROCESS WARRANTS WITHDRAWAL The responsibilities of the regulator should be clearly and objectively stated. The regulator should be operationally independent and accountable in the exercise of its functions and powers. The regulator should have adequate powers, proper resources and the capacity to perform its functions and exercise its powers. The regulator should adopt clear and consistent regulatory processes. The staff of the regulator should observe the highest professional standards including appropriate standards of confidentiality. The regulatory regime should make appropriate use of Self-Regulatory Organizations (SROs) that exercise some direct oversight responsibility for their respective areas of competence, and to the extent appropriate to the size and complexity of the markets. SROs should be subject to the oversight of the regulator and should observe standards of fairness and confidentiality when exercising powers and delegated responsibilities. The regulator should have comprehensive inspection, investigation and surveillance powers. The regulator should have comprehensive enforcement powers. The regulatory system should ensure an effective and credible use of inspection, investigation, surveillance and enforcement powers and implementation of an effective compliance program. The regulator should have authority to share both public and non-public information with domestic and foreign counterparts. Regulators should establish information sharing mechanisms that set out when and how they will share both public and non-public information with their domestic and foreign counterparts. The regulatory system should allow for assistance to be provided to foreign regulators who need to make inquiries in the discharge of their functions and exercise of their powers. 2017-09-08T18:46:53Z 2017-09-08T18:46:53Z 2008-04 Report http://documents.worldbank.org/curated/en/446611468120872681/Thailand-Implementation-of-the-IOSCO-objectives-and-principles-of-securities-regulation-detailed-assessment-of-observance http://hdl.handle.net/10986/28232 English en_US CC BY 3.0 IGO http://creativecommons.org/licenses/by/3.0/igo World Bank Washington, DC Economic & Sector Work :: Financial Sector Assessment Program Economic & Sector Work East Asia and Pacific Thailand |