) measures to be implemented in the case of emergency which may affect the provision of services as a securities clearing house or central securities depository, with a defined scope that covers possible
derivatives business operators is determined by the types of license packages, each permitting a scope of various business undertakings. For example, Type A Securities Business License requires the minimum paid
Discipline ● Proposed to amend the SEC Act to define clearer scope of responsibilities of listed companiesû directors and to empower investors in exercising their rights ● Cooperated with the SET in revising
% Securities Companies 0.11% 0.40% financial institution 2.98% 0.41% foundation 0.01% - Others 11.77% 14.05% TOTALS 82.82% 17.18% coRPoRAte goveRnAnce Rosc FoR thAIlAnd | 8landscape 0 40 20 60 80 100 120 2008
. Moreover, the existence of derivatives market will provide additional financial instruments for investors and allow market intermediaries to expand their scope of services. For this reason, the SEC has
dealer-to-client transactions, non-dealer financial institution transactions accounted for 13 percent, while contractual saving funds, mutual funds, insurance and domestic companies totally accounted for
level. To this end, effective and continu- ous consultation with the public is an essential element that is widely regarded as good practice. A few countries have identified „a champion‟ institution to
Asset Management Co., Ltd • Chairman of Audit Committee, Secondary Mortgage Corporation • Assistant Governor, Financial Institution Supervision Group, Bank of Thailand Education : • Master of Management
within the scope of the regulator’s statutory authority, while considering all relevant factors. 3 Statement of Intent (2017) 4. Strategic priorities To achieve the legislative intent, the SEC’s vision
Privacy Policy Personal Data Protection Policy for Internal Administration (Website) The Office of the Securities and Exchange Commission (SEC Office) 0. Scope of this Policy This Personal Data