Corporate Finance 33 Broker-Dealer 36 Asset Management 43 Investment Adviser 48 Enforcement 53 Market 57 International Cooperation 60 Corporate Affairs Appendices 63 Capital Market Performance 2002-2004 69
on the draft regulations relating to the net capital of business operators principle, in the second quarter, covering the calculation of subordinated facility for accommodating increasing transactions
Accounting Supervision Department Mr. Prakid Punyashthiti Director Broker-Dealer Supervision Department (Executive Officers) Mrs. Nataya Niyamanusorn Director Corporate Affairs Department Mrs. Waratchya
85 87 88 102 102 103 Total staff: 422 2 Broker-Dealer Supervision Dept. 36 staff Market Supervision Dept. 9 staff Supervision Dept. 43 staff Supervision Dept. 29 staff Securities Business Senior
trading short-term debt securities, especially BOT bonds, and treasury bills due to market liquidity. Inter-dealer transactions1 amounted to 30 percent in 2006, increasing from 23 percent in 2005. Among
principle, in the second quarter, covering the calculation of subordinated facility for accommodating increasing transactions in the short-term, the calculation of the capital to accommodate the digital
draft regulations relating to the net capital of business operators principle, in the second quarter, covering the calculation of subordinated facility for accommodating increasing transactions in the
on the draft regulations relating to the net capital of business operators principle, in the second quarter, covering the calculation of subordinated facility for accommodating increasing transactions
=system_name%3APublic%20Hearings&fq=key_filetype%3Apdf&start=0&rows=10 1 - 10 of 10 results Sort by: Relevance Date (Newest) Date (Oldest) Annual Report 2004 Corporate Finance 33 Broker-Dealer 36 Asset
. ■ Licenses for inter-dealer brokers - A Ministerial Regulation was proposed to enable the SEC to issue securities business licenses to those who wish to act as intermediaries to find suitable counter-parties