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
conclusion, I wish to express my sincere appreciation to the SEC management and staff who have put in tremendous efforts over the years. I am confident that with everyone’s continued support and commitment
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
prevention and handling of conflicts of interest; (2) adequate measures to prevent directors, executives, sub-committee members, advisors, staff members, employees, or persons who work for securities clearing
changes in the company. ACROnymS ASeAn: Association of southeast Asian nations BoT: Bank of thailand CeO: chief executive officer. this is used as a synonym for managing director. CG: corporate governance
arbitration procedure between investors and market intermediaries, the introduction of regulations that requires all staff of market intermediaries who are in touch with investors to possess professional
Industry and Be a Firm and Fair Regulator ● Proposed Changes of the Structure of the SEC ● Procedures for Issuing Rules and Regulations Governing the Capital Market ● Roles of the SEC as Law Enforcement
Reports on the Observance of Standards and Codes of the World Bank. The Principles themselves are evolutionary in nature and are reviewed in light of significant changes in circumstances in order to
changes in behaviour. The landscape Asia remains a diverse region, with a range of economic, legal, and political systems. Economic development and market sizes vary (see Table1). The Asian Roundtable
market.? Hence, we take all factors, such as growth, market development, social changes and disruptive technologies, into account in discharging such duty. These changes inevitably affect the way funds are