efforts in strengthening corporate governance in the industry. In the year ahead, countless different challenges are bound to arise and test our strengths, but I believe the SEC management and staff will
system ● Put in place a “competency-based” management system for staff performance evaluation and development ● Adopted a “performance-based” rewards system, with an appropriate employee compensation
, the resources of supervisory, regulatory and enforcement authorities may come under strain. As a result, in order to follow developments, they will have a significant demand for fully qualified staff to
depository shall not have any of the following characteristics: (1) is or was an executive director, executive, staff member, employee, or advisor, or is holding or held any other equivalent position, of the
direct, but indirect ownership and control is also important, including through the state linked Vayupak Fund, which was allocated shares in advance of privatization firms. > Retail and foreign investors
Thai capital market today results from the cooperation and support of all market participants including staff of the SEC. In this connection, on behalf of SEC commissioners, I would like to express my
from the impact, reflecting fundamental confidence on the part of the investors. Overall, the SET made a strong advance as the SET index climbed from 269 at the end of 2000 to 342 just prior to September
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
should develop and provide employee and shareholder handbooks that specify rights, entitlements and avenues for redress. Employee handbooks should describe company policies and procedures on matters such
issues, consider policies and regular work relating to employee matters and the engagement of other parties to prepare the operating system for the SEC Office/ meetings/ seminars/ MOU/other events/exchange