the standards established by an international organization concerning capital market supervision, each securities clearing house and central securities depository shall follow principles in the

exchange and clearing house, and the licensing requirements which are in the process of approval ● Prescribed licensing rules for derivatives brokers, dealers, and fund managers ● Prescribed rules for the

/Documents/Assessment/49801431.pdf 7025se.pdf the deposit and demonstrate that such deposit by the securities clearing house is for the purpose of complying with Section 223/3. (3) In the case of other asset

operation and engagement in new activities/ services Clearing house, derivatives clearing house, securities depository center and securities registrar ë Grant license, approve regulations, examine business

choose a default investment plan for members, for example, a life path-oriented plan that would adjust members? investment portfolios automatically and appropriately as they approach the retirement age

Principles of Corporate Governance - G20 version G 20/O E C D P rin c ip le s o f C o rp o ra te G o ve rn a n c e G20/OECD Principles of Corporate Governance ENG_Corporate Governance Principles_Cover.indd 3 27-Aug-2015 6:43:10 PM G20/OECD Principles of Corporate Governance OECD Report to G20 Finance Ministers and Central Bank Governors September 2015 G20/OECD PRINCIPLES OF CORPORATE GOVERNANCE © OECD 2015 3 Note by the OECD Secretary-General G20 Finance Ministers and Central Bank Governors Meet...

practical knowledge and skills in the area of securities law enforcement; ë Risk-Based Approach Supervision Seminar - an in-house training for the SEC staff with guest speakers from the UK Financial Services

ทอ้นถึง exposure สูงสุดที1อาจเกิดขึนได ้ (4) การคาํนวณ commitment approach ซึ1 งสามารถให ้netting ระหวา่ง derivative หรือ asset ที1เป็น underlying เดียวกนันัน ควรใหส้ามารถ https://capital.sec.or.th

capital market. The SEC employs a collaborative approach to build relationships with and ensure engagement of relevant stakeholders. (2) Define clear intended outcomes within the scope of the SEC’s

to allocate their savings into investment properly Increase institutional investors as a vehicle to expand wider groups of investors SCE_Eng_p.17-32 10/29/04, 1:07 AM17 18 ● Adopted risk-based approach