) and was reappointed as Chairman of the Asia-Pacific Regional Committee (APRC) for a second consecutive term, thus a timely opportunity to carry on with the regional campaign for consistent cooperation
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
in raising funds for both public and private sectors, thanks in large part to the cooperation among the SEC, capital market organizations and listed firms in underlining the importance and
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
regulatory sides toward impending changes. It is going to be another challenging year. Strong cooperation of all parties, however, will take us through obstacles and toward our mutual goals
. Insider trading is prohibited and other types of self-dealing and conflicts of interest are regulated. The SEC actively monitors the market for abusive practices. Institutional investors regularly vote
2012, the SEC continuously promoted legal development and focused on long-term cooperation by working closely with relevant agencies including the Department of Special Investigation and the Office of
Common Exchange (ACE) Gateway & ASEAN Board; - setting the ASEAN Listing Standard with the cooperation of regional capital market regulators and exchanges. The Standard is expected to launch in 2011-2012
encourage active co-operation between companies and employees. Securities regulators, stock exchanges, self-regulatory organisations and investor groups should continue to educate companies and the public
น้อยสามารถเสนอเพิ่มวาระการประชุมล่วงหน้าก่อนวัน ประชุมผู้ถือหุ้น คณะกรรมการควรมีมาตรการป้องกันกรณีท่ีกรรมการและผู้บริหาร ใช้ข้อมูลภายในเพื่อหาผลประโยชน์ให้แก่ตนเองหรือผู้อื่นในทางมิชอบ (Abusive self