(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
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
shared her perspective and vision for leading the SEC organization after recently assuming office. “I have taken on a new role in a familiar organization and working environment, with the primary goal of
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supervision of securities clearing houses and central securities depositories as follows: (1) good governance and organizational structuring, as detailed in Chapter 2; (2) risk management, as detailed in
/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