Rules and Regulations

Members

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SET puts in place a clear set of membership rules and regulations to ensure transparency and fair competition by using a risk-based surveillance approach to create fair competition, increase member companies' credibility, and mitigate risks or negative impacts on member companies, investors, and the industry as a whole.   

Member qualifications


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Be licensed as a securities brokerage 

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Has a strong financial position and a good track record

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 Has the capability and readiness to engage in the securities business

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 Has good business practice standard

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Be a member of  a relevant organization

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Member supervision
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Off-site monitoring

All member companies are required to submit a regular performance report to keep SET informed of their operationsของสมาชิก


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On-site monitoring

On-site monitoring: SET conducts an on-site inspection every two to three years. The same inspection procedure and standard are applied to all members. The selection of members for inspection is based on a risk-based approach that takes into account information from off-site monitoring and current data.

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Member governance guidelines (checklist)

Member governance guidelines (checklist)

SET member governance regulation 
Clearinghouse regulations
Trading system