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
SEC plans to revise the criteria on the maintenance of the net capital (NC) of securities and derivatives business operator. SEC has, therefore, conducted a public hearing on this matter, in
Enterprise Content Management System (ECM) of the SEC Office; Information from action relating to the supervision and inspection of risks related to business operations. The SEC Office receives the following
University, Thailand and an MBA in Finance and International Business from Sasin Graduate Institute of Business Administration of Chulalongkorn University, Thailand. He is Deputy Director for Academic Affairs
Annual Report 2007 Securities and Exchange Commission, Thailand ANNUAL REPORT 2007 Corporate social responsibility is the continuing commitment by business to behave ethically and contribute to
Corpo- ration for their financial contribution. This Report was prepared by Fianna Jesover, Senior Policy Ana- lyst, OECD with the oversight of Grant Kirkpatrick, Deputy Head, Corporate Affairs Division
Bank in 2011. The assessment reflects technical discussions with the Securities and Exchange Commission, Bank of Thailand, Stock Exchange of Thailand, Department of Business Development in the Ministry
must be able to take business decisions rapidly. In light of these realities and the complexity of managing the corporation's affairs in fast moving and ever changing markets, shareholders are not
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
who are in Contact with Investors ● Mutual Fund Management Business ● Revision of Rules on Securities Underwriting ● Law Enforcement 52 GOAL 4 Preserve Market Fairness and Transparency, Understand