assigned by such claimant; “SET” means the Stock Exchange of Thailand; “Office” means the Office of the Securities and Exchange Commission. Chapter I General Provision ________________________ Clause 4. The
assigned by such claimant; “SET” means the Stock Exchange of Thailand; “Office” means the Office of the Securities and Exchange Commission. Chapter I General Provision ________________________ Clause 4. The
undertaking as well as to protect investors? best interest.?The four key areas are:?1. Provisions on Stock Exchange: The proposed revisions include (1) granting the power to approve the rules on securities
Early this year, SEC held public hearings to obtain views on establishing rules that require companies issuing IPOs to disclose information related with the offering for sale of their securities
part to the sustained efforts of all parties involved. Over the year 2004, the Securities and Exchange Commission (SEC) worked with the Stock Exchange of Thailand (SET) and other public agencies as well
will closely coordinate with the SET to monitor stock trading activities and solve the problem in advance. Another aspect of the supervisory task is to improve risk management procedures of securities
=system_name%3APublic%20Hearings&fq=key_filetype%3Apdf&start=0&rows=10 1 - 10 of 10 results Sort by: Relevance Date (Newest) Date (Oldest) Annual Report 2004 Corporate Finance 33 Broker-Dealer 36 Asset
Securities borrowing and lending ë Securities financing ë Inter-dealer brokers ë Investor contacts (e.g. analysts and marketing officers) ë Fund managers ë Fund supervisors/custodians ë Credit rating agencies
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
. ■ Licenses for inter-dealer brokers - A Ministerial Regulation was proposed to enable the SEC to issue securities business licenses to those who wish to act as intermediaries to find suitable counter-parties