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Transparency in Capital Market
Supervision
Have sound
financial status
and operating
results
Show long-term
stability
Have sound
internal control
system
Have qualified
executives
Distribute
securities
adequately for
trading liquidity
Do not have
conflicts of interest
SET realizes the significance of market supervision with clear policy that covers listed companies
and member companies, so as to ensure transparency and create trust among investors and
stakeholders. Major actions included:
1
Supervision of listed companies
2
Supervision of member companies
SET supervises listed companies with transparency and in accordance with the set rules and regulations,
ranging from listing process, information disclosure, listing status retention, delisting process and internal
control. SET will assign relevant signs of the significant data or news reports that affect the rights and
benefits of investors. In 2014, SET assigned “Halt (H)” signs 29 times, “Suspension (SP)” 313 times, and
“Notice Pending (NP)” 114 times.
SET supervises member companies (brokerage houses) and their licensed officers of all trading markets,
including those responsible for securities depository and clearing house. SET, in cooperation with the
Association of Thai Securities Companies, has urged the member companies to act in accordance with
the self-regulatory organization (SRO) and to help improve their corporate governance practices. In addition,
SET has defined disciplinary measures and actions in cases where its member companies and licensed
officers violate SET regulations. In 2014, six member companies and four licensed officers were subject
to disciplinary actions.
Qualifications of Good Listed Companies