SET Annual Report 2014

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3.6 Compliance with rules and
regulations
The SET BoG realizes the importance of strict
compliance with the Securities and Exchange Act and
other laws related to business conduct. The BoG also
recognizes the rights of all stakeholders, respecting
human rights and fair labor treatment.
3.7 Whistle-blowing policy
SET provides channels for all stakeholders to report
or notify directly to the chairman of the Audit Committee
about wrongdoings, violations of rights, violations of
Code of Conduct, incorrect financial reports or internal
control systems of the SET group. Investigations will be
conducted and the findings will be reported to the SET
BoG for decision of next steps. SET’s whistleblowing
policy is clearly stated in the SET group’s corporate
governance policy and available via the SET’s website
in the “Whistleblowing policy” section. Whistleblowers
can contact SET via:
1. e-mail:
2. Postal mail
Chairman of the Audit Committee
Internal Audit Department
The Stock Exchange of Thailand
62 Ratchadaphisek Road, Klongtoey
Bangkok 10110
SET has an effective process to ensure that whistle-
blowers will be protected in good faith. The whistle-
blower can choose to declare or not declare his / her
name or contact details, and the filing will be kept
confidential. The whistleblower can request special
protection and he / she will receive fair treatment. In
2014, no such reports were submitted via SET channels.
4. Disclosure and transparency
The BoG emphasizes the quality of information
disclosed to ensure that important information for
business operations and securities trading is distributed
sufficiently, accurately, timely and transparently. The SET
website is a major source of important information, both
financial and non-financial, in both Thai and English
Samples are as follows:
• SET publishes information on its overall operations
covering the structure of the SET group operations,
names and profiles of SET governors and executives,
rules and regulations for listed companies and
member companies, market data, as well as companies
and securities information. In addition, SET also
publishes information on its corporate governance
and corporate social responsibility.
• SET’s annual report, including audited financial
statements and Management Discussion and Analysis,
from 2001 to the latest issue can be downloaded,
with each report being published no later than 60
days after year-end, same as listed companies.
The 2014 SET financial report was published on
February 17 2014, or 48 days following the end of
the period covered, which was before the deadline.
The BoG provides a statement of its responsibilities
that relate to the SET financial reports alongside
the auditor’s report in SET’s annual report.
In addition to disseminating information via website,
SET also provides information through various easily-
accessible channels and public relations activities
providing information on listed companies. Some
examples are as follows:
• Methods for disseminating information include
organizing training courses to provide investment
education, releasing important news on the capital
market, and providing investment insights and
financial planning techniques through SET social
media, consisting of Facebook, Twitter and YouTube.
• News and information regarding finance and investment
are broadcast on Money Channel television station,
which broadcasts 24 hours a day. Additionally,
press releases are distributed to all media covering
printed media, radio, TV and websites.