(IOSCO), such as having the structure for supervising the Association to reflect good corporate governance, setting criteria for member subscription and for member supervision with transparency
following matters: (1) good governance and clear, transparent organization structure; (2) effective risk management for legal, credit, liquidity, operation, and other risks, with measures to appropriately
SEC plans to revise criteria on the delegation of other persons to operate a business on behalf of the operators of securities, investment management, and derivative contract business in order to
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amendments are expected to enhance flexibility and industry adjustment to the fast changing market environment;3. Supervision of Mutual Fund Management: The mutual fund governance structure would be revised to
/pb_ar_2004.pdf Annual Report 2003 Other Related Entities in order to Ensure Confidence of the Investing Public ● Supervision of Market Intermediaries - Securities Companies - Asset Management Companies
Asset Management Co., Ltd • Chairman of Audit Committee, Secondary Mortgage Corporation • Assistant Governor, Financial Institution Supervision Group, Bank of Thailand Education : • Master of Management
Enterprise Content Management System (ECM) of the SEC Office; Information from action relating to the supervision and inspection of risks related to business operations. The SEC Office receives the following
The SEC is proposing to amend the regulation on filing the application for establishment and management of mutual funds by allowing electronic submission of all required documents through the Online
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