borrowing and lending, and joint venture management. As a result, any intermediary wishing to operate only brokerage business, for example, would have to meet the high minimum paid-up capital rule despite its
- 3210 of 3,262 results Sort by: Relevance Date (Newest) Date (Oldest) 6324se.pdf entering into any transaction; (e) risk tolerance. Clause 32 For the purpose of knowing a client, an intermediary shall
Principles of Corporate Governance - G20 version G 20/O E C D P rin c ip le s o f C o rp o ra te G o ve rn a n c e G20/OECD Principles of Corporate Governance ENG_Corporate Governance Principles_Cover.indd 3 27-Aug-2015 6:43:10 PM G20/OECD Principles of Corporate Governance OECD Report to G20 Finance Ministers and Central Bank Governors September 2015 G20/OECD PRINCIPLES OF CORPORATE GOVERNANCE © OECD 2015 3 Note by the OECD Secretary-General G20 Finance Ministers and Central Bank Governors Meet...
Annual Report 2001 A N N U A L R E P O R T 2 0 0 1 S E C U R IT IE S A N D E X C H A N G E C O M M IS S IO N & O F F IC E O F T H E S E C U R IT IE S A N D E X C H A N G E C O M M IS S IO N , T H A IL A N D SECURITIES AND EXCHANGE COMMISSION, THAILAND OFFICE OF THE SECURITIES AND EXCHANGE COMMISSION, THAILAND ANNUAL REPORT 2001 SECURITIES AND EXCHANGE COMMISSION, THAILAND OFFICE OF THE SECURITIES AND EXCHANGE COMMISSION, THAILAND 10th and 13th-16th Fl. Diethelm Towers B, 93/1 Wireless Road, Lump...
on Appointment of Selling Agent to Increase Securities Distribution Channels ● Investor Education Program 31 GOAL 2 Promote and Develop Mechanism to Empower Investors ● Promotion of Good Corporate
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
increase flexibility and effectiveness in business operations by delegating other persons, who are prepared to operate the business under the principle of principal-agent relationship. SEC has held three
suspension of Zipmex services as digital asset exchange and digital asset broker On 12 January 2024, pursuant to Section 35, Paragraph 1, of the Emergency Decree on Digital Asset Businesses B.E. 2561 (2018
(Newest) Date (Oldest) SEC orders temporary suspension of Zipmex services as digital asset exchange and digital asset broker On 12 January 2024, pursuant to Section 35, Paragraph 1, of the Emergency Decree
suspension of Zipmex services as digital asset exchange and digital asset broker On 12 January 2024, pursuant to Section 35, Paragraph 1, of the Emergency Decree on Digital Asset Businesses B.E. 2561 (2018