.................................................... 19 Disclosure and Transparency ..................................... 23 Board Practices and Company Oversight ................. 27 Findings Of The DCA
Corpo- ration for their financial contribution. This Report was prepared by Fianna Jesover, Senior Policy Ana- lyst, OECD with the oversight of Grant Kirkpatrick, Deputy Head, Corporate Affairs Division
Arbitration Procedures Investigation of Possible Contraventions of the SEC Act B.E. 2535 (1992), Procedure for Investigation, and Criminal Action Procedure Summary of Settlement and Legal Actions in the Year
explicit responsibility) and to minimise the cost of compliance with multiple systems by corporations. When regulatory responsibilities or oversight are delegated to non-public bodies, it is 16 G20/OECD
quarterly MD&A (management discussion and analysis); and (4) Encouraging securities companies to voluntarily enter into dispute settlement through arbitration procedure Self-Discipline ● Prescribed best
revision process. The final Draft Act will be submitted according to the National Legislative Council's procedure in due course.?In addition to the legislation, the SEC is simultaneously working to remove
according to the National Legislative Council's procedure in due course. ?In addition to the legislation, the SEC is simultaneously working to remove obstacles and promote more use of FinTech by giving more
stakeholders, the SEC implements the following procedure: · To assess the importance of matters to be under preventive regulations without which the reliability or efficiency of the capital market
stakeholders, the SEC implements the following procedure: · To assess the importance of matters to be under preventive regulations without which the reliability or efficiency of the capital market
. A n n u a l R e p o r t 2 0 0 6 17 ë Handling of Complaints Against SEC Staff The SEC implemented a quick and thorough procedure for effective handling complaints against the SEC staff to assure