Entities in order to Ensure Confidence of the Investing Public ■ Supervision of Market Intermediaries ■ Inspection of Listed Companies and Market Intermediaries ■ Regulation and Law Enforcement G OA L 4

G20 priority in 2015 to support investment as a powerful driver of growth. The Principles are also about inclusiveness. Today, millions of households around the world have their savings in the stock

Commission No. OrNor. 7/2547 Re: Arbitral Process (No. 3) dated 13 October 2004. Clause 3. In this Notification: “respondent” means any of the followings: (1) a securities company; (2) a local share selling

: Arbitral Process (No. 3) dated 13 October 2004. Clause 3. In this Notification: “respondent” means any of the followings: (1) a securities company; (2) a local share selling agent; (3) a mutual fund

(No. 3) dated 13 October 2004. Clause 3. In this Notification: “respondent” means any of the followings: (1) a securities company; (2) a local share selling agent; (3) a mutual fund supervisor; (4) a

-regulation and the costs from unintended consequences of policy action. 8 REFORM PRIORITIES IN ASIA: TAKING CORPORATE GOVERNANCE TO A HIGHER LEVEL © OECD 2011 underpinned by a stock-taking exercise of progress

part to the sustained efforts of all parties involved. Over the year 2004, the Securities and Exchange Commission (SEC) worked with the Stock Exchange of Thailand (SET) and other public agencies as well

the mark for another year in 2006, further strengthening the robustness of market infrastructure. Though affected by unexpected incidents late in the year, the market managed to recover and the stock

Other Related Entities in order to Ensure Confidence of the Investing Public ● Supervision of Market Intermediaries - Securities Companies - Asset Management Companies - Inspection - Supervision of those

SEC plans to revise criteria on the delegation of other persons to operate a business on behalf of the operators of securities, investment management, and derivative contract business in order to