Member Supervision
Member Supervision Department
The Member Supervision Department oversees and advises member companies on regulations, guidelines and procedures in order to support member operations which are efficient and fair to all parties. Included are members in the equity, bond, and derivative markets, as well as those in the depository company and clearing house. The department has two main units.
- Member Supervision oversees and advises member company operations so they comply with SET regulations.
- The Special Audit Project oversees and advises member companies with regards to charging broker or securities dealer fees.