objectives. Therefore, the SEC places strong emphasis on outcome-based development of employee competencies to ensure effective job performance for the benefit of investors, other stakeholders and the general
: 1. Preventive regulations To ensure that preventive regulations are carried out as deemed necessary to benefit investors and the capital market as a whole, and simultaneously observe the rights of
: 1. Preventive regulations To ensure that preventive regulations are carried out as deemed necessary to benefit investors and the capital market as a whole, and simultaneously observe the rights of
, issuance and settlement of securities, and organization of shareholders? meetings, etc., (2) facilitating businesses? access to necessary information under possession of governmental agencies for the benefit
Corporate Finance 33 Broker-Dealer 36 Asset Management 43 Investment Adviser 48 Enforcement 53 Market 57 International Cooperation 60 Corporate Affairs Appendices 63 Capital Market Performance 2002-2004 69
Risk Management ● Development of Debt Instruments ● Development of New Financial Instruments ● Promotion of Issuance of Non-Voting Depositary Receipt (NVDR) Achieving Efficiency for the Secondary Market
Important Tool for Risk Management ■ Development of Debt Instrument Market ■ Amendment to the Public Limited Company Act B.E. 2535 (1992) to Help with the Capital Structure of Listed Companies ■ The Use of
benefit to the Company and the shareholders. Therefore, the management team has conducted studies to find solutions to minimize the effects of this project. The Company has proposed solutions and discovered
................................................................................ Intermediaries ......................................................................................................................... Asset Management
information that companies on a voluntary basis may include, for example in their management reports. VI) The responsibilities of the board; The chapter provides guidance with respect to key functions of the