from and having registered [such establishment] with the SEC Office; (2) an association relating to supervision of a derivatives intermediary, of which objectives is for promoting and supervising the
prohibited characteristics: (1) having deficiency in legal competency, being subject to legal action under the law governing supervision of capital market, or lacking trustworthiness as specified as prohibited
the capital market business shall not possess the following prohibited characteristics: (1) having deficiency in legal competency, being subject to legal action under the law governing supervision of
prohibited characteristics: (1) having deficiency in legal competency, being subject to legal action under the law governing supervision of capital market, or lacking trustworthiness as specified as prohibited
from the Secretary-General 08 Members of the SEC Board 11 Executive Officers 15 About the SEC 18 Thailand’s Capital Market Overview 23 Key Achievements in 2004 26 2005 Action Plan 2004 Achievements 29
: 1. I/We am/are under supervision of Home Regulator which has the authority to impose sanctions or to order the Qualifying CIS Operator to act or refrain from acting in case there is an action which
: _____________________________________________ 6) Is the foreign ETF subject to supervision of Home Regulator that is a member of International Organization of Securities Commissions (IOSCO)? Yes No If “No”, please specify
: ___________________________________________________________ Tel No.: _____________________________ Fax No.: _________________________ Part F: Declaration I/We certify the following: 1. I/We am/are under supervision of Home Regulator which has the authority
Governance ● Revision of Rules on Approval for Public Offering of Shares and Information Disclosure by Focusing on Good Corporate Governance CONTENTS APPEN SCE_Eng_p.1-16 10/29/04, 1:05 AM2 3 ● Supervision of
of Clause 5(1), the foreign collective investment scheme shall: (1) be managed by a CIS operator who: (a) is under supervision of home regulator which has the authority to impose sanctions or to order