/04, 1:07 AM30 3131 (Goal 2) SCE_Eng_p.17-32 10/29/04, 1:07 AM31 32 Apart from equipping investors with investment knowledge to protect their rights, an effective mechanism will help protecting
undertaking as well as to protect investors? best interest.?The four key areas are:?1. Provisions on Stock Exchange: The proposed revisions include (1) granting the power to approve the rules on securities
Issuing company · To protect investors from unfair practices and ensure the availability of adequate information for making a right investment decision, the SEC requires that companies obtain an
Issuing company · To protect investors from unfair practices and ensure the availability of adequate information for making a right investment decision, the SEC requires that companies obtain an
. [ Goal 1 ]25 . . . . . . . . Empower Investors 2 Apart from being equipped with the necessary knowledge of investment for investors to effectively defend and protect their rights, it is necessary to ensure
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
corporate governance frameworks reduce investor confidence, and can discourage outside investment. Also, as pension funds continue to invest more in equity markets, good corporate governance is crucial for
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
Office, and the Bank of Thailand, for the purposes of supervising and examining the financial status and risks of members. 8 Clause 19 To preserve the public interest and to protect investors, a securities
Structure Investment Management Supervision Dept. 44 staff Broker-Dealer Supervision Dept. 43 staff Investment Advisor Supervision Dept. 32 staff Research Dept. 26 staff Corporate Affairs Dept. 24 staff