achieve three core objectives of securities regulations: (1) protecting investors, (2) ensuring that markets are fair, efficient and transparent, and (3) reducing systemic risks. IOSCO Principles comprise
benefits of members, investors or persons involved with the derivatives exchange, and at least one person of which shall be an investor or a person capable of protecting the benefits of investors, and at
gLooking for lower-risk funds /Low-volatility funds tend not to attract greedy short-term investors with explosive gains and also do a better job of protecting shareholders' capital during downturns. gLast
consider the company's policy on payment of dividends). Any other case which impairs the benefits of warrant holders. There are measures for protecting and preserving the rights of shareholders. Notice of
given more responsibilities in protecting investors’ rights to investment advice and quality information in the form of financial statements or otherwise. For example, listed companies must comply with
20T H ANNIVERSARY 1 Securities and Exchange Commission, Thailand Annual Report 2012 SEC ANNUAL REPORT 20122 THE YEAR OF CHANGE The year 2012 was the time for change to become the visionary partner whose balance between proactive and preventive approaches has led to stakeholders’ confidence in the Thai capital market. THE YEAR OF CHANGE 20T H ANNIVERSARY 1 02 MESSAGE FROM THE CHAiRMAN 04 MESSAGE FROM THE SECRETARY-GENERAl 06 SEC BOARd 09 CApiTAl MARkET SupERviSORY BOARd 12 ExECuTivE OFFiCERS 13 O...
safeguarding and preventing against damage and fraud as well as procedures to ensure the accuracy and reliability of its financial statements which shall be audited by the Office of the Auditor General of
1 Operation Control Clause 4. Securities company shall have an effective internal control system, risk management system, and a system protecting conflict of interest and shall prescribe rule and
4. Securities company shall have an effective internal control system, risk management system, and a system protecting conflict of interest and shall prescribe rule and procedure of such systems in
, risk management system, and a system protecting conflict of interest and shall prescribe rule and procedure of such systems in written with an approval of Board or Executive Board of securities company