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
; 4. Online job application; 5. Acceptances and referral of cases; 6. Processes relating to security management of computer and information center and management of SEC internal security; 7. Profiles of
the relationships among the management, board of directors, controlling shareholders, minority shareholders and other stakeholders. Good corporate governance contributes to sustainable economic
................................................................................ Intermediaries ......................................................................................................................... Asset Management
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
financial instruments, risk management tools to support capital market development for business sectors, and greater investment alternatives for the public. These efforts have been driven concurrently with
, 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
increase engagement and representation of a broader range of market participants such as investment management companies, listed firms, institutions or associations whose main focuses are investor education
-up capital of 500 million baht for undertaking the following businesses ? brokerage, dealing and underwriting of securities, investment advisory, mutual fund/private fund management, securities
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