Entities in order to Ensure Confidence of the Investing Public ■ Supervision of Market Intermediaries ■ Inspection of Listed Companies and Market Intermediaries ■ Regulation and Law Enforcement G OA L 4

, risk factors, board members, etc. New issues in this 6 G20/OECD PRINCIPLES OF CORPORATE GOVERNANCE © OECD 2015 chapter include the recognition of recent trends with respect to items of non-financial

products and services in order to lessen their dependency on brokerage fee revenue, and launched a securities business liberalization roadmap to get the industry players started on the preparation for the

SEC plans to revise criteria on the delegation of other persons to operate a business on behalf of the operators of securities, investment management, and derivative contract business in order to

were honoured to host the first ASEAN Capital Market Forum in which securities regulators agreed to work towards mutual recognition of standards. In November 2004, we signed a Letter of Intent with Hong

asset business, and the requirement that any business operator that cannot maintain its net capital to meet the criteria must cease its business operation immediately in order to prevent any damage to

continual progress in elevating standards of corporate governance and codes of conduct of both market participants and supervisory agencies to raise confidence in, and recognition of, the Thai capital market

Other Related Entities in order to Ensure Confidence of the Investing Public ● Supervision of Market Intermediaries - Securities Companies - Asset Management Companies - Inspection - Supervision of those

has seen corporate governance regulation tightened has been accompanied by a change in the attitudes and behaviour of some market participants. The increasing recognition by regulators, listed companies

/pb_ar_2004.pdf Annual Report 2003 Other Related Entities in order to Ensure Confidence of the Investing Public ● Supervision of Market Intermediaries - Securities Companies - Asset Management Companies