2 0 0 6 21 Whom and How We Regulate Whom How Licensed/approved corporations and individuals undertaking securities businesses, derivatives businesses, or related activities/services as follows: ë
addressed through the Amendments to the Securities and Exchange Act of 1992 (SEA), which has already been approved by the National Legislative Assembly. Upon His Majesty the King's signature and publication
house” means any licensed derivatives clearing house according to the law on derivatives; “central securities depository” means any central securities depository according to the law on securities and
Protection Policy applies to the business operators who have been licensed by the SEC Office, the market professionals who have been approved by the SEC Office, other persons approved by the SEC Office, as
Report on the Observance of Standards and Codes (ROSC) CORPORATE GOVERNANCE COUNTRY ASSESSMENT Thailand JANUARY 2013 Report on the Observance of Standards and Codes (ROSC) CORPORATE GOVERNANCE COUNTRY ASSESSMENT Thailand January 2013 Acknowledgements This assessment of corporate governance in Thailand has been prepared by David Robinett, Ratchada Anantavrasilpa, and Catherine Hickey of the World Bank Global Capital Markets Practice, as part of the Reports on Observance of Standards and Codes Pro...
% 60% 40% 20% 0% Market Participants Financial Institutions (Licensed Dealers and Non Licensed Dealers) 38.5% Contractual Saving Funds 12.5% Mutual Funds 19.2% Insurance Companies 3.2% 115 110 105 100
(www.sec.or.th) as follows: (1) Mutual fund information service (MFIS) (2) Mutual fund report and prospectus (MRAP) (3) Mutual fund statistics: a summary of information of all mutual funds ● Approved rules on
result in an inability to acquire the benefits to Company and for shareholders as when the investment was previously approved. In such case, it is viewed that the Company shall terminate or sell the
responsibility to supervise such funds by providing that they are securities businesses, and thus requiring to be licensed from the SEC. At present, the Ministerial Regulation enabling the application for licenses
be authorized by law; the contents shall be clear, practical and consistent with final-considered measure. 9. Conduct public consultation on the draft notification: This step ensures that the draft