undertaking as well as to protect investors? best interest.?The four key areas are:?1. Provisions on Stock Exchange: The proposed revisions include (1) granting the power to approve the rules on securities
, administrative orders, and administrative sanctions; 3. Information Technology Audit and Cyber Risk Supervision and inspection of information technology risk of business operators ✓ ✓ ✓ ✓ ✓ ✓ 1. Disclosure of
Governance ● Revision of Rules on Approval for Public Offering of Shares and Information Disclosure by Focusing on Good Corporate Governance CONTENTS APPEN SCE_Eng_p.1-16 10/29/04, 1:05 AM2 3 ● Supervision of
85 87 88 102 102 103 Total staff: 422 2 Broker-Dealer Supervision Dept. 36 staff Market Supervision Dept. 9 staff Supervision Dept. 43 staff Supervision Dept. 29 staff Securities Business Senior
benefits of the capital market. Expectations include: Provide opportunities for businesses to operate independently with an effective supervision system in place to ensure an orderly market; Be
Entities in order to Ensure Confidence of the Investing Public ■ Supervision of Market Intermediaries ■ Inspection of Listed Companies and Market Intermediaries ■ Regulation and Law Enforcement G OA L 4
part to the sustained efforts of all parties involved. Over the year 2004, the Securities and Exchange Commission (SEC) worked with the Stock Exchange of Thailand (SET) and other public agencies as well
the mark for another year in 2006, further strengthening the robustness of market infrastructure. Though affected by unexpected incidents late in the year, the market managed to recover and the stock
/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
Sort by: Relevance Date (Newest) Date (Oldest) SEC public hearing on proposed revision to supervision of digital asset custodial wallet providers Pursuant to the Ministerial Notification concerning