mutual funds. This will also benefit to the development of new financial instruments, such as instruments with limited loss, instruments with principal and minimum return protection. The success of the
Corporate Finance 33 Broker-Dealer 36 Asset Management 43 Investment Adviser 48 Enforcement 53 Market 57 International Cooperation 60 Corporate Affairs Appendices 63 Capital Market Performance 2002-2004 69
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
Structure Investment Management Supervision Dept. 44 staff Broker-Dealer Supervision Dept. 43 staff Investment Advisor Supervision Dept. 32 staff Research Dept. 26 staff Corporate Affairs Dept. 24 staff
Fax. 0 2204 2616 (Therefore, if the third completion of the share sale and purchase does not take place, the Company is entitled to claim for such sum of money in full from the broker according to the
protection from expropriation by controlling shareholders, they have had mixed success. Additional measures that might be adopted include: (i) ensuring that regulators have the capacity to monitor companies in
contributing to the long-term success and performance of the company. Other factors relevant to a company’s decision- making processes, such as environmental, anti-corruption or ethical concerns, are considered
shareholders acting in concert. The SEC has a large staff and pays competitive salaries The SEC is operation- ally independent, but reports to the govern- ment and MoF The SET is state owned and has broker
Annual Report 2001 A N N U A L R E P O R T 2 0 0 1 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 2001 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...