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

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作者：

International Monetary Fund

来源地址：

http://hdl.handle.net/10986/28232

关键词：

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;  Report;  Rapport;  Informe; 

年份：

2008

出版地：

Washington,USA

语种：

English

摘要：

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 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.