Supervising Those who are in Contact with Investors ■ Promotion of Good Corporate Governance ■ Development of Legal Framework to Afford Better Protection for Clients’ Assets and Provide Mechanism for Investors
Regulations SHARE : Detail Content Financial reporting and audit oversight 3. Monitoring on Financial Report of Business in Capital Market 3.1 Regulatory Summary for preparation and submission
Bankruptcy Law only in the case where such rehabilitation plan requires the creditor to accept such newly issued shares in lieu of debt repayment. Clause 5 The regulations concerning approval of share offering
characteristics, or obtain an approval [from the SEC Office], as the case may be, as prescribed in this Notification: (1) managing, determining, controlling and supervising business policy of an intermediary ; (2
prescribed in this Notification: (1) managing, determining, controlling and supervising business policy of an intermediary; (2) controlling, supervising and managing business units relating to investment
The meeting discussed important developments and course of actions in overseeing and developing the capital markets of member jurisdictions. For instances, issues around harmful but legal conduct
Securities Companies. 7. Mrs. Dayana Bunnag Expert member She obtained a B.A. in Economics (Honors) from Thammasat University, Thailand, and an MBA from University of Texas at Austin, USA. She was Managing
investment units of foreign fund, such fund shall be in conforming to the following conditions: (a) it has to be under the supervision of a regulatory agency supervising securities and securities exchanges
, controlling and supervising business policy of an intermediary; (2) controlling, supervising and managing business units relating to investment advice, investment planning, analysis of investment or capital
3; (3) preventing and managing conflicts of interest, as specified in details in Chapter 4; (4) communicating with a client and providing services to the client , as specified in details in Chapter 5