Publication:
Thailand Financial Sector Assessment Program: Implementation of the IOSCO Objectives and Principles of Securities Regulation

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dc.contributor.authorInternational Monetary Fund
dc.contributor.authorWorld Bank
dc.date.accessioned2017-09-08T18:46:53Z
dc.date.available2017-09-08T18:46:53Z
dc.date.issued2008-04
dc.description.abstractThe 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.en
dc.identifierhttp://documents.worldbank.org/curated/en/446611468120872681/Thailand-Implementation-of-the-IOSCO-objectives-and-principles-of-securities-regulation-detailed-assessment-of-observance
dc.identifier.doi10.1596/28232
dc.identifier.urihttps://hdl.handle.net/10986/28232
dc.languageEnglish
dc.language.isoen_US
dc.publisherWashington, DC
dc.rightsCC BY 3.0 IGO
dc.rights.holderWorld Bank
dc.rights.urihttp://creativecommons.org/licenses/by/3.0/igo
dc.subjectACCOUNTING
dc.subjectACCOUNTING STANDARD
dc.subjectACCOUNTING STANDARDS
dc.subjectALTERNATIVE INVESTMENT
dc.subjectASSET MANAGEMENT
dc.subjectASSET VALUE
dc.subjectASSETS UNDER MANAGEMENT
dc.subjectAUDIT COMMITTEE
dc.subjectAUDIT COMMITTEES
dc.subjectAUDITOR
dc.subjectAUDITOR INDEPENDENCE
dc.subjectAUDITORS
dc.subjectAUDITS
dc.subjectBANKING LAWS
dc.subjectBANKRUPTCY
dc.subjectBANKRUPTCY LAW
dc.subjectBID
dc.subjectBOND
dc.subjectBOND MARKET
dc.subjectBROKER
dc.subjectBROKER DEALER
dc.subjectBROKER-DEALER
dc.subjectBROKER-DEALERS
dc.subjectBROKERAGE
dc.subjectBROKERAGE ACCOUNTS
dc.subjectBROKERAGE FIRM
dc.subjectBROKERS
dc.subjectCAPITAL ADEQUACY
dc.subjectCAPITAL MARKET
dc.subjectCAPITAL MARKET DEVELOPMENT
dc.subjectCAPITAL MARKET REGULATION
dc.subjectCAPITAL MARKETS
dc.subjectCAPITAL REQUIREMENT
dc.subjectCENTRAL BANK
dc.subjectCIVIL LAW
dc.subjectCIVIL PENALTIES
dc.subjectCLASS ACTION
dc.subjectCOLLECTIVE INVESTMENT
dc.subjectCOLLECTIVE INVESTMENT SCHEME
dc.subjectCOLLECTIVE INVESTMENT SCHEMES
dc.subjectCOMPANY STOCK
dc.subjectCOMPANY STOCKS
dc.subjectCONFIDENTIALITY
dc.subjectCONFLICTS OF INTEREST
dc.subjectCORPORATE DISCLOSURE
dc.subjectCORPORATE FRAUD
dc.subjectCORPORATE GOVERNANCE
dc.subjectCREDITOR
dc.subjectCREDITOR RIGHTS
dc.subjectCUSTODY
dc.subjectDEBT
dc.subjectDEBT MARKET
dc.subjectDEBT OFFERINGS
dc.subjectDEBT SECURITIES
dc.subjectDEBT SECURITY
dc.subjectDEFAULT RISK
dc.subjectDEPOSITS
dc.subjectDERIVATIVE
dc.subjectDERIVATIVES
dc.subjectDISCLOSURE
dc.subjectDISCLOSURE STANDARDS
dc.subjectDISCLOSURE SYSTEM
dc.subjectELECTRONIC FUNDS
dc.subjectENFORCEMENT ACTION
dc.subjectENFORCEMENT ACTIONS
dc.subjectENFORCEMENT POWERS
dc.subjectEQUITIES
dc.subjectEQUITY INVESTMENTS
dc.subjectEQUITY MARKET
dc.subjectEQUITY SECURITIES
dc.subjectEQUITY TRADING
dc.subjectEXCHANGE COMMISSION
dc.subjectFAIR MARKET VALUE
dc.subjectFAIR VALUE
dc.subjectFIDUCIARY DUTIES
dc.subjectFIDUCIARY DUTY
dc.subjectFINANCES
dc.subjectFINANCIAL ADVISER
dc.subjectFINANCIAL ADVISORS
dc.subjectFINANCIAL INFORMATION
dc.subjectFINANCIAL INSTITUTION
dc.subjectFINANCIAL INSTITUTIONS
dc.subjectFINANCIAL STATEMENTS
dc.subjectFOREIGN CURRENCY
dc.subjectFOREIGN INVESTORS
dc.subjectFOREIGN MARKETS
dc.subjectFRAUDS
dc.subjectFUND DISCLOSURE
dc.subjectFUND EXPENSES
dc.subjectFUND MANAGEMENT
dc.subjectFUND MANAGERS
dc.subjectFUND SHAREHOLDERS
dc.subjectFUND UNITS
dc.subjectFUTURES
dc.subjectFUTURES EXCHANGE
dc.subjectGOVERNMENT DEBT
dc.subjectGOVERNMENT OWNERSHIP
dc.subjectGOVERNMENT REGULATION
dc.subjectGROSS DOMESTIC PRODUCT
dc.subjectGROSS SETTLEMENT SYSTEM
dc.subjectGROUPS OF INVESTORS
dc.subjectHOLDING
dc.subjectHOLDINGS
dc.subjectINDIVIDUAL SECURITIES
dc.subjectINDIVIDUAL STOCK
dc.subjectINITIAL PUBLIC OFFERING
dc.subjectINSIDE INFORMATION
dc.subjectINSIDER
dc.subjectINSIDER TRADING
dc.subjectINSIDERS
dc.subjectINSTITUTIONAL INVESTORS
dc.subjectINSURANCE
dc.subjectINTERNAL AUDIT
dc.subjectINTERNATIONAL BANK
dc.subjectINTERNATIONAL STANDARDS
dc.subjectINVESTMENT ADVISERS
dc.subjectINVESTMENT ADVISORS
dc.subjectINVESTMENT CLIMATE
dc.subjectINVESTMENT DECISIONS
dc.subjectINVESTMENT MANAGEMENT
dc.subjectINVESTMENT MANAGEMENT COMPANIES
dc.subjectINVESTMENT RESTRICTIONS
dc.subjectINVESTMENT STRATEGY
dc.subjectINVESTOR CONFIDENCE
dc.subjectINVESTOR EDUCATION
dc.subjectINVESTOR FUNDS
dc.subjectIPO
dc.subjectISSUANCE
dc.subjectLEGAL AUTHORITY
dc.subjectLEGAL JURISDICTION
dc.subjectLEGAL PROTECTION
dc.subjectLIABILITY
dc.subjectMARKET FAILURES
dc.subjectMARKET INTERMEDIARIES
dc.subjectMARKET INTERMEDIARY
dc.subjectMARKET MANIPULATION
dc.subjectMARKET OVERSIGHT
dc.subjectMARKET PARTICIPANTS
dc.subjectMARKET PRICE
dc.subjectMARKET SHARES
dc.subjectMARKET SURVEILLANCE
dc.subjectMARKET TRANSPARENCY
dc.subjectMONETARY FUND
dc.subjectMUTUAL FUND
dc.subjectMUTUAL FUND ASSETS
dc.subjectMUTUAL FUND MANAGEMENT
dc.subjectMUTUAL FUNDS
dc.subjectNAV
dc.subjectNET ASSET
dc.subjectNET ASSET VALUE
dc.subjectOPEN-END FUNDS
dc.subjectPENSION
dc.subjectPORTFOLIO
dc.subjectPORTFOLIO HOLDINGS
dc.subjectPOTENTIAL INVESTORS
dc.subjectPRICE MOVEMENTS
dc.subjectPRIVATE AUDITING
dc.subjectPRIVATE RATING AGENCIES
dc.subjectPROSPECTUS
dc.subjectPROVIDENT FUNDS
dc.subjectPRUDENTIAL STANDARD
dc.subjectPUBLIC INFORMATION
dc.subjectQUARTERLY FINANCIAL STATEMENTS
dc.subjectREAL-TIME MARKET
dc.subjectREDEMPTION
dc.subjectREDEMPTION OF UNITS
dc.subjectREGISTRATION STATEMENT
dc.subjectREGULATORY AUTHORITY
dc.subjectREGULATORY OVERSIGHT
dc.subjectREGULATORY STANDARDS
dc.subjectREGULATORY SYSTEM
dc.subjectRISK FACTORS
dc.subjectRISK MANAGEMENT
dc.subjectRISK MANAGEMENT SYSTEMS
dc.subjectSECONDARY MARKET
dc.subjectSECURITIES
dc.subjectSECURITIES COMMISSIONS
dc.subjectSECURITIES DEALERS
dc.subjectSECURITIES DEPOSITORY
dc.subjectSECURITIES EXCHANGES
dc.subjectSECURITIES FIRM
dc.subjectSECURITIES FIRMS
dc.subjectSECURITIES INVESTMENTS
dc.subjectSECURITIES LAW
dc.subjectSECURITIES LAWS
dc.subjectSECURITIES MARKETS
dc.subjectSECURITIES REGISTRATIONS
dc.subjectSECURITIES REGULATION
dc.subjectSECURITIES TRANSACTIONS
dc.subjectSELF-REGULATION
dc.subjectSETTLEMENT
dc.subjectSHARE PRICE
dc.subjectSHAREHOLDER
dc.subjectSHAREHOLDER APPROVAL
dc.subjectSHAREHOLDER RIGHTS
dc.subjectSHAREHOLDERS
dc.subjectSMALL CAP
dc.subjectSTOCK EXCHANGE
dc.subjectSTOCK MARKET
dc.subjectSTOCK OPTION
dc.subjectSTOCK TRADING
dc.subjectSTOCKS
dc.subjectSYSTEMIC RISK
dc.subjectSYSTEMIC RISKS
dc.subjectTANGIBLE ASSETS
dc.subjectTAX
dc.subjectTAX LAW
dc.subjectTRADING
dc.subjectTRADING SURVEILLANCE
dc.subjectTRADING SYSTEM
dc.subjectTRADING SYSTEMS
dc.subjectTRADING VOLUMES
dc.subjectTRANSACTION
dc.subjectTRANSPARENCY
dc.subjectTRUSTEE
dc.subjectTURNOVER
dc.subjectUNDERWRITER
dc.subjectVALUABLE ASSET
dc.subjectVALUATION
dc.subjectVALUATION PROCESS
dc.subjectWARRANTS
dc.subjectWITHDRAWAL
dc.titleThailand Financial Sector Assessment Programen
dc.title.subtitleImplementation of the IOSCO Objectives and Principles of Securities Regulationen
dc.typeReporten
dc.typeRapportfr
dc.typeInformees
dspace.entity.typePublication
okr.crossref.titleThailand Financial Sector Assessment Program
okr.date.disclosure2013-07-16
okr.date.doiregistration2025-05-07T12:11:11.074442Z
okr.doctypeEconomic & Sector Work::Financial Sector Assessment Program
okr.doctypeEconomic & Sector Work
okr.docurlhttp://documents.worldbank.org/curated/en/446611468120872681/Thailand-Implementation-of-the-IOSCO-objectives-and-principles-of-securities-regulation-detailed-assessment-of-observance
okr.guid446611468120872681
okr.identifier.externaldocumentum000445729_20130716143030
okr.identifier.internaldocumentum18010073
okr.identifier.report79248
okr.importedtrue
okr.language.supporteden
okr.pdfurlhttp://documents.worldbank.org/curated/en/446611468120872681/pdf/792480WP0Thail0Box0377370B00Public0.pdfen
okr.region.administrativeEast Asia and Pacific
okr.region.countryThailand
okr.sectorFinance
okr.themeFinancial and private sector development :: Standards and financial reporting
okr.topicFinance and Financial Sector Development::Access to Finance
okr.topicFinance and Financial Sector Development::Debt Markets
okr.topicFinance and Financial Sector Development::Mutual Funds
okr.topicFinance and Financial Sector Development::Financial Regulation & Supervision
okr.topicFinance and Financial Sector Development::Securities Markets Policy & Regulation
okr.unitFinance & Markets - GP - IBRD (GFMDR)
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