SEC plans to revise the criteria on the maintenance of the net capital (NC) of securities and derivatives business operator. SEC has, therefore, conducted a public hearing on this matter, in
Preserve Market Fairness and Transparency, Understand Industry, and be a Firm and Fair Regulator [ MESSAGE FROM THE CHAIRMAN ] (Mr. Somk id Ja tus r ip i t ak ) Cha i rman [ Message from the Chairman ]4
who are in Contact with Investors ● Mutual Fund Management Business ● Revision of Rules on Securities Underwriting ● Law Enforcement 52 GOAL 4 Preserve Market Fairness and Transparency, Understand
on the draft regulations relating to the net capital of business operators principle, in the second quarter, covering the calculation of subordinated facility for accommodating increasing transactions
Note: Summary of market data in 2007: ë SET Index increased 26 percent from December 29, 2006 ë Average daily trading value of B17.1bn, compared to B16.28bn in 2006 ë Local retail investors net sell
Office, and the Bank of Thailand, for the purposes of supervising and examining the financial status and risks of members. 8 Clause 19 To preserve the public interest and to protect investors, a securities
effective protection against retaliation for employees who report problems and abuses. To preserve and promote reputational goodwill, board members (and policy-makers) should not only take into account the
(Net Interest Margin) อยูท่ี่ร้อยละ 3.43 ซึง่เพิ่มขึน้จากไตรมาสก่อนเลก็น้อย และอตัราสว่นคา่ใช้จ่ายจากการด าเนินงานอื่น ๆ ตอ่รายได้จากการ ด https://market.sec.or.th/public/idisc/Download?FILEID=dat/news
- Inspection - Supervision of those https://www.sec.or.th/EN/Documents/AnnualReport/pb_ar_2003.pdf 10 amended Upon calculation of the maximum transaction size is equal to 2. 38 percent based on the net tangible
draft regulations relating to the net capital of business operators principle, in the second quarter, covering the calculation of subordinated facility for accommodating increasing transactions in the