believes that this Statement of Intent will aid the public and all capital market stakeholders to understand the SEC’s role and operations, and promote confident participants of the capital market. 2. Vision
who are in Contact with Investors ● Mutual Fund Management Business ● Revision of Rules on Securities Underwriting ● Law Enforcement 52 GOAL 4 Preserve Market Fairness and Transparency, Understand
Important Tool for Risk Management ■ Development of Debt Instrument Market ■ Amendment to the Public Limited Company Act B.E. 2535 (1992) to Help with the Capital Structure of Listed Companies ■ The Use of
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
implementation of appropriate risk management and resource allocation by their board of directors and executives that is practical and meets the standards established by an international organization concerning
information that companies on a voluntary basis may include, for example in their management reports. VI) The responsibilities of the board; The chapter provides guidance with respect to key functions of the
กรรมการต่อรายงานทางการเงินแสดงควบคู่กับ รายงานของผู้สอบบัญชีในรายงานประจำาปี 1.4 คณะกรรมการควรสนับสนุนให้บริษัทจัดทำาคำาอธิบาย และการวิเคราะห์ของฝ่ายจัดการ (Management Discussion and Analysis หรือ MD&A
, effective monitoring of management and be accountable to the company and its shareholders. Moreover, the board is also required to balance the different interests and classes of shareholders, and others. The
the relationships among the management, board of directors, controlling shareholders, minority shareholders and other stakeholders. Good corporate governance contributes to sustainable economic
The SEC is proposing to amend the regulation on filing the application for establishment and management of mutual funds by allowing electronic submission of all required documents through the Online