of Thailand issued regulations and supervised business operation of securities companies. The Stock Exchange of Thailand oversaw members’ operation pursuant to the rules drafted by the Bank of Thailand

 means any legal entity obtaining the license to undertake securities business which is not: (1) any legal entity supervised by any other governmental agencies before obtaining securities business license

supervision 2.6 Quality Assurance & Review  Increasingly, complicated transactions in the financial market especially those in connection with listed companies and intermediaries such as securities houses have