(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
/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
regulations to give permission for asset management companies with a custodian services to protect investors’ asset and stringent supervision on asset separation to keep private... https://www.sec.or.th/EN
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
Asset Management Co., Ltd • Chairman of Audit Committee, Secondary Mortgage Corporation • Assistant Governor, Financial Institution Supervision Group, Bank of Thailand Education : • Master of Management
management while rendering proper investor protection. Financial institutions that used to rely on B/E fund source have time until end of June to prepare for compliance with SEC supervision,? said SEC
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