) Fully Implemented, (2) Broadly Implemented, (3) Partly Implemented, and (4) Not Implemented. Most jurisdictions accept assessment grade of Broadly Implemented or above. FSAP Results The SEC has been
แบ่งเป็น 4 ระดับจากดีมากไปจนถึงต้องปรับปรุง ได้แก่ ดำเนินการได้ครบถ้วน (Fully Implemented: “FI") ดำเนินการได้เกือบครบถ้วน (Broadly Implemented: “BI") ดำเนินการได้บางส่วน (Partly Implemented: “PI") และไม่
matters under its supervision in accordance with the governing laws . Conducts liable to the supervision include duty performance of market participants such as securities issuers,approved securities
(United States) SECPeople /derivatives intermediaries , e.g., brokers, dealers and asset management companies, and the SEC approved entities, e.g., investment consultants 1 and listed companies 2
English (United States) SECPeople /derivatives intermediaries , e.g., brokers, dealers and asset management companies, and the SEC approved entities, e.g., investment consultants 1 and listed companies 2
://www.sec.or.th/TH/Documents/AboutUs/KeyPerformance-2566.pdf English (United States) SECPeople /derivatives intermediaries , e.g., brokers, dealers and asset management companies, and the SEC approved entities, e.g
supervising securities businesses; 3. The SEC Office implementing policies, inspecting licensed/approved corporations and individuals, and developing financial products. Meanwhile, the Audit Committee