the standards established by an international organization concerning capital market supervision, each securities clearing house and central securities depository shall follow principles in the
market confidence and business integrity, which in turn is essential for companies that need access to equity capital for long term investment. Access to equity capital is particularly important for future
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
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
possible limit of individual freedom, regulation is essential to uphold market credibility and orderliness. Yet, the regulator’s exercising of power must be prudent, fair and only as necessary to protect the
Annual Report 2003 A N N U A L R E P O R T 2 0 0 3 S E C U R IT IE S A N D E X C H A N G E C O M M IS S IO N & O F F IC E O F T H E S E C U R IT IE S A N D E X C H A N G E C O M M IS S IO N , T H A IL A N D SECURITIES AND EXCHANGE COMMISSION, THAILAND OFFICE OF THE SECURITIES AND EXCHANGE COMMISSION, THAILAND ANNUAL REPORT 2003 SECURITIES AND EXCHANGE COMMISSION, THAILAND OFFICE OF THE SECURITIES AND EXCHANGE COMMISSION, THAILAND 10th and 13th-16th Fl. Diethelm Towers B, 93/1 Wireless Road, Lump...
cards, addresses on the house registration, permanent address, home telephone numbers, facsimile numbers, copies of vehicle registrations. Sensitive data: Data under Section 26 of the Personal Data