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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Bibliographic Details
Main Authors:	International Monetary Fund, World Bank
Format:	Report
Language:	English en_US
Published:	Washington, DC 2017
Subjects:	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
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