of investor’s wealth creation and the fund raising of issuers. SEC supervised the intermediary and has collection of annual fees at the current rate for some time.SEC, therefore, has a plan to revise
following Divisions and Departments: 2.1 Enforcement Division comprises Enforcement Department, Litigation Department and Administrative Appeals Center, supervised by Assistant Secretary-General
as well as licensees which cease business operations.For financial institutions supervised by other lead regulators and licensed to operate securities or derivatives businesses, such as commercial
spin-off เพือเขา้จดทะเบียนในตลาดหลกัทรัพย ์ ประเด็นทีเสนอ ยกเวน้ใหส้าํหรับหุ้นในส่วนทีบริษทัยอ่ยจดัสรรใหก้บัผูถื้อหุน้ของ บริษทัจดทะเบียน (ทีเป็นบริษทัแม่) (pre-emptive rights) ไม่จาํเป็นตอ้งแต่งตังใหบ้
which is supervised by a regulator located in a country whose supervisory measures on investment management are recognized by the SEC Office; For the purpose of intermediaries’ compliance with the
supervised by a regulator located in a country whose supervisory measures on investment management are recognized by the SEC Office; For the purpose of intermediaries’ compliance with the aforesaid provision
supervised in response to the changing scenarios to enhance investors’ trust and confidence. In this connection, the SEC sets priorities for policy measures, developmental and supervisory, that can keep pace
เพื่อทำ IPO และ spin-off (เลขที่ orkor3/2549) เอกสารรับฟังความคิดเห็น แบบสำรวจความคิดเห็น เอกสารรับฟังความคิดเห็น วันที่สุดท้ายของการให้ความคิดเห็น : 30 ธันวาคม 2548 เอกสารเผยแพร่การรับฟังความคิด
authorised and supervised by the home regulator that is a signatory, and established for offering for sale under the Mutual Recognition of Funds between Hong Kong Special Administrative Region of the People's
Thailand, issuing and revoking licenses for securities business undertaking. Meanwhile, the Bank of Thailand issued regulations and supervised business operation of securities companies. The Stock Exchange