Anunual Report 2015

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64 Annual Report 2015
In addition, the BoG approved the reviewing of the BoG
announcement on the Trading of SET-listed securities by SET
employees by revising the definition of “Restricted List”, to be
in line with the improvement of securities trading surveillance
measures in case of irregularies in the market.
More information on the SET policies and practices,
including SET Anti-corruption policy, can be found on the SET
website
Monitoring compliance with CG policy and Code of Conduct
In 2015, SET governors and employees have strictly complied
with SET CG policies or Code of Conduct. There were no
compliants involving wrongdoing or business malpractice by
SET governors, management or staff that went against SET
CG policies or Code of Conduct. In 2015, there was no case
involving a Boardmember or SET employee for violation of SET
rules and regulations or using insider information or misusing
authority in securities trading.
Activities to support employees’ knowledge and understanding
of Corporate Governance
Regularly preparing articles with updated movements in
“Sharing: CG& Compliance” column via SET’s intranet,
totaling 6 issues in 2015
Organizingmeetings for all newemployees to increase their
understanding of SET’s CG policy, Code of Conduct, the
BoG’s announcement on Trading of SET-listed securities
by SET employees, as well as the SET Anti-corruption
measures.
In 2015, the CG Day event was held on October 12 under
the theme "Towards Sustainable Growth", to enhance the
employees’ understanding of SET’s direction towards
a sustainability stock exchange in which CG plays an
important, contributing to environmental, social and
governance (ESG) aspects. Various edutainment activities
were organized such as exhibitions, games and activities on
stage highlighting various aspects of corporate governance,
social responsibility, and environmental management. The
SET president presided over the opening ceremony and
participated in various activities and answering questions,
in a friendly atmosphere.
Policies and guidelines for managing conflicts of interest issues
To guide all SET staff to act in the interests of the Exchange,
without favor or preference based on possible direct or indirect
personal gain, the Exchange has provided examples of situations
in which a conflict of interest may arise, as well as procedures
to follow. These actions include
Not allowing employees to serve on the boards of, or as
consultants to, listed companies or member firms
If serving on the board of other companies or organizations,
employee must seek prior approval from the president.
If the president is the person in question, employee
must seek prior approval from the chairman.
If involving in transactions with SET, employee must
disclose in writing any relationship, both direct and
indirect, with related person engaged in those transactions,
and must abstain from participating in the procurement
process.
Information on SET senior executives serving as director,
committee member, or advisor of other companies: as of December
31, 2015 there was only one senior executive, Thirapun Suppakit,
approved for serving as director in Mittraphap Memorial Saraburi
Hospital Co., Ltd.
Policies on confidentiality and data usage
The BoG recognizes the confidentiality of SET information and
protection against conflicts of interest by not using confidential
information dishonestly, for example:
Not exploiting SET confidential information for personal
or other persons’ benefit wrongly
Maintaining SET confidentiality so that documents or
information will not leak, resulting in damage to SET
Not disclosing SET’s confidential information even after
leaving SET