practical knowledge and skills in the area of securities law enforcement; ë Risk-Based Approach Supervision Seminar - an in-house training for the SEC staff with guest speakers from the UK Financial Services
decision on appropriate forms of alliance with foreign counterparts to support future trading linkage;2. Supervision of Securities Business: Licensing provisions would be amended to grant the Securities and
One Report ESG Issues AGM FAQ Capital market professionals/gatekeeper CSR Whistleblower Audit committee About us Overview Detail Content SEC Roles C oncept “Supervision” is the core
One Report ESG Issues AGM FAQ Capital market professionals/gatekeeper CSR Whistleblower Audit committee About us Overview Detail Content SEC Roles C oncept “Supervision” is the core
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
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
. Duangjai Dhanasthitya Director Broker-Dealer Supervision Department Mrs. Paralee Sukonthaman Director Corporate Affairs Department Mrs. Nataya Niyamanusorn Director Corporate Finance Department Mr. Prakid
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
Sector Assessment Program (FSAP) in 2007. While the roadmap to securities business liberalization progresses along its path, so will the market supervision and development. We truly hope to see further
Objectives of the Supervision of Securities Clearing Houses and Central Securities Depositories Clause 2 A securities clearing and settlement system is a fundamental system which has connection to the