Microsoft Word - hearing group limit _2_.docx เอกสารรับฟงความคิดเห็น เร่ือง การกําหนดเรื่อง sector fund และ group limit สํานักงานคณะกรรมการกํากับหลักทรัพยและตลาดหลักทรัพย (http://www.sec.or.th
Increasing Market Confidence Group 2: Measures for supervising inappropriate trading behaviors Measures Details Timeline 2.1 Disclose information on investors with inappropriate trading behaviors • To disclose
Thongkam a ongsak Cho ai Meesen a 18 onwards e to record nary Gener 9, 2018 to on to propo al Meeting o rdinary Gen n) Appointmen mes of the sh ing of Sha s and Scop edia Group d on Decem Company’s esigned
from and having registered [such establishment] with the SEC Office; (2) an association relating to supervision of a derivatives intermediary, of which objectives is for promoting and supervising the
supervising the derivatives intermediary, having obtained an approval [for establishment] from the Securities and Exchange Commission. “financial institution” means a financial institution under the Interest on
Institute of Appraisal Profession under the first paragraph shall be recognized by the SEC Office as an appropriate organization for supervising and promoting appraisal profession as prescribed in Clause 18
public and stakeholders in supervising and developing a sustainable capital market. The SEC administers the Securities and Exchange Act B.E. 2535 (1992), the Derivatives Act B.E. 2546 (2003), Trust for
supervising the derivatives intermediary, having obtained an approval [for establishment] from the Securities and Exchange Commission. “financial institution” means a financial institution under the Interest on
written policy, scope, or definition of work to be outsourced, with approval, whether on a general or case-by-case basis, of the board of directors or the working group assigned by the board of directors
Supervising Those who are in Contact with Investors ■ Promotion of Good Corporate Governance ■ Development of Legal Framework to Afford Better Protection for Clients’ Assets and Provide Mechanism for Investors