depository shall not have any of the following characteristics: (1) is or was an executive director, executive, staff member, employee, or advisor, or is holding or held any other equivalent position, of the

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

system ● Put in place a “competency-based” management system for staff performance evaluation and development ● Adopted a “performance-based” rewards system, with an appropriate employee compensation

, the resources of supervisory, regulatory and enforcement authorities may come under strain. As a result, in order to follow developments, they will have a significant demand for fully qualified staff to

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

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

programs to raise awareness regarding corporate governance and other areas in each of Thailand’s regions. It has 20 staff focused primarily on public companies. Beyond awareness raising, registration and

Thai capital market today results from the cooperation and support of all market participants including staff of the SEC. In this connection, on behalf of SEC commissioners, I would like to express my

issues, consider policies and regular work relating to employee matters and the engagement of other parties to prepare the operating system for the SEC Office/ meetings/ seminars/ MOU/other events/exchange

should develop and provide employee and shareholder handbooks that specify rights, entitlements and avenues for redress. Employee handbooks should describe company policies and procedures on matters such