private fund; “Provident fund” means any provident fund under the laws on provident funds; (Translation) 2 “Open-end fund” means any mutual fund which accepts the redemption of its investment units
provident fund under the laws on provident funds; (Translation) 2 “Open-end fund” means any mutual fund which accepts the redemption of its investment units; “Management company” means any mutual fund
operation; risk management; selection and monitoring of its personnel assuring that they have and maintain such qualifications that correspond to the nature of their duties and internal control measures to
event of emergencies, and its compliance with international standards. Internal Control Internal control is an SEC priority for assuring that its supervisory objectives are met with efficiency
Section 110 Securities and Exchange Act B.E. 2535 Section 110. A securities company shall open its office for business during business hours and close its office on the days specified by the Office
received from numerous participants to the Regional Corporate Governance Roundtables in Latin America, Asia and the Middle East and North Africa. An expert consultation and an open on-line public
20T H ANNIVERSARY 1 Securities and Exchange Commission, Thailand Annual Report 2012 SEC ANNUAL REPORT 20122 THE YEAR OF CHANGE The year 2012 was the time for change to become the visionary partner whose balance between proactive and preventive approaches has led to stakeholders’ confidence in the Thai capital market. THE YEAR OF CHANGE 20T H ANNIVERSARY 1 02 MESSAGE FROM THE CHAiRMAN 04 MESSAGE FROM THE SECRETARY-GENERAl 06 SEC BOARd 09 CApiTAl MARkET SupERviSORY BOARd 12 ExECuTivE OFFiCERS 13 O...
abolished to open up access to other non-exchange-member market participants and allow for off-exchange listed securities trading. Expected outcome 1. With a clear separation of responsibilities between the
committees about the importance of the auditors’ role in supporting performance of audit committees of listed companies in assuring quality of audit work and financial reporting, thereby elevating corporate