=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

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

Accounting Supervision Department Mr. Prakid Punyashthiti Director Broker-Dealer Supervision Department (Executive Officers) Mrs. Nataya Niyamanusorn Director Corporate Affairs Department Mrs. Waratchya

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

. . . . . . . . Capital Market Development Group • responsible for monitoring innovation in global capital markets as well as conducting research on various aspects of the Thai capital market for the SEC’s policy and

operators, for example, the number of shares held, shareholding proportion, trading account numbers. Verification data: Data for verification purposes, for example, trader codes. Work Areas Personal Data

and active in enforcing the various rules and requirements under their jurisdiction. The State Enterprise Policy Office (SEPO) has continued its efforts to improve the governance of state owned

derivatives business operators is determined by the types of license packages, each permitting a scope of various business undertakings. For example, Type A Securities Business License requires the minimum paid

and voluntary codes, and various authorities such as Ministries of Justice, Securities Regulators and Central Banks, stock exchanges and private sector institutions including institutes of directors