-up capital of 500 million baht for undertaking the following businesses ? brokerage, dealing and underwriting of securities, investment advisory, mutual fund/private fund management, securities

enterprises, some of the regulations were revised by the SEC. The limit on shareholding requirement for independent directors were eased slightly so as to increase the potential number of such directors. The

for the mutual benefits of countries in the region. The Asian Bond Market Development initiative is a very important example of a joint undertaking of which Thailand has been a very active proponent

2 0 0 6 21 Whom and How We Regulate Whom How Licensed/approved corporations and individuals undertaking securities businesses, derivatives businesses, or related activities/services as follows: ë

relation to the undertaking of derivatives businesses without license, the offering of listed companies' secur i t ies and share pr ice manipulation. The SEC Help Center can be reached by telephone at (66

Annual Report 2003 A N N U A L R E P O R T 2 0 0 3 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 2003 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...

likely to avoid over-regulation, support the exercise of entrepreneurship and limit the risks of damaging conflicts of interest in both the private sector and in public institutions. A. The corporate

enterprise and not to those undertaking the action. 6 The World Bank Revised Principles for Effective Creditor Rights and Insolvency Systems and UN- CITRAL Legislative Guide on Insolvency Law (http

SEC’s income is derived from the application fees for the issuance and offering of securities, license and business undertaking fees, annual contribution from the Stock Exchange of Thailand. To ensure

of Commerce, Thai Institute of Directors, State Enterprise Policy Office in the Ministry of Finance, Federation of Accounting Professions, Social Security Office, Government Pension Fund, and