Accounting Supervision Department Mr. Prakid Punyashthiti Director Broker-Dealer Supervision Department (Executive Officers) Mrs. Nataya Niyamanusorn Director Corporate Affairs Department Mrs. Waratchya
85 87 88 102 102 103 Total staff: 422 2 Broker-Dealer Supervision Dept. 36 staff Market Supervision Dept. 9 staff Supervision Dept. 43 staff Supervision Dept. 29 staff Securities Business Senior
pass this test and strive forward to deliver material and measurable accomplishments. As the market regulator, the SEC shall proceed to secure investors' confidence, build efficient and reliable markets
=system_name%3APublic%20Hearings&fq=key_filetype%3Apdf&start=0&rows=10 1 - 10 of 10 results Sort by: Relevance Date (Newest) Date (Oldest) Annual Report 2004 Corporate Finance 33 Broker-Dealer 36 Asset
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
depositories, which are financial market infrastructures, to deploy effective and secure risk management systems, provide services in a transparent and fair manner, and operate appropriately and correspond with
. ■ Licenses for inter-dealer brokers - A Ministerial Regulation was proposed to enable the SEC to issue securities business licenses to those who wish to act as intermediaries to find suitable counter-parties
of disputes. A. Basic shareholder rights should include the right to: 1) secure methods of ownership registration; 2) convey or transfer shares; 3) obtain relevant and material information on the
Report on the Observance of Standards and Codes (ROSC) CORPORATE GOVERNANCE COUNTRY ASSESSMENT Thailand JANUARY 2013 Report on the Observance of Standards and Codes (ROSC) CORPORATE GOVERNANCE COUNTRY ASSESSMENT Thailand January 2013 Acknowledgements This assessment of corporate governance in Thailand has been prepared by David Robinett, Ratchada Anantavrasilpa, and Catherine Hickey of the World Bank Global Capital Markets Practice, as part of the Reports on Observance of Standards and Codes Pro...
. Procedures on the shareholders’ meeting date 2.1 The board of directors should encourage the company to use secure, fast, precise, and accurate technology in the shareholders meeting, including in recording