within the scope of the regulator’s statutory authority, while considering all relevant factors. 3 Statement of Intent (2017) 4. Strategic priorities To achieve the legislative intent, the SEC’s vision
. Save and Close Laws/Regulations × Home > Laws/Regulations > Rule Making Process Rule Making Process SHARE : Detail Content 1. Assess the importance of matters 2
percent of the votes and another with 20 percent. Five direc- tors need to be elected. without a cumulative voting rule, each shareholder must vote separately for each director. the majority shareholder
accounting, audit, and non- financial disclosure. All Asian economies should continue to strengthen these institutions to: establish high standards for disclosure and transparency; have the capacity, authority
with the rule of law and support effective supervision and enforcement. Effective corporate governance requires a sound legal, regulatory and institutional framework that market participants can rely on
borrowing and lending, and joint venture management. As a result, any intermediary wishing to operate only brokerage business, for example, would have to meet the high minimum paid-up capital rule despite its
Authority. With a concern for its staff's work-life balance, the SEC provided conducive working environment, physical and mental healthiness programs, as well as staff relations activities on special
are enforceable under the SEC Act, the violation of which is a criminal offence. The extent of the SEC’s authority is further defined in SEC notifications, in which details of its context and powers
in refusing to accept assets or other kinds of benefits from any persons involved in the operation of the SEC to prevent obstruction of duty performance. The violation of such rule is not only deemed
trading prices. Although the Thai BDC is a rule maker on ethics, practices and standards in the secondary market of debt instruments as well as supervises traders, it does not do much in terms of market