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
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
) 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
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
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
. Insider trading is prohibited and other types of self-dealing and conflicts of interest are regulated. The SEC actively monitors the market for abusive practices. Institutional investors regularly vote
น้อยสามารถเสนอเพิ่มวาระการประชุมล่วงหน้าก่อนวัน ประชุมผู้ถือหุ้น คณะกรรมการควรมีมาตรการป้องกันกรณีท่ีกรรมการและผู้บริหาร ใช้ข้อมูลภายในเพื่อหาผลประโยชน์ให้แก่ตนเองหรือผู้อื่นในทางมิชอบ (Abusive self
Kong Securities & Futures Commission for mutual recognition of managed fund products. We also undertook a self-assessment for compliance with IOSCO Principles to pave the way for Thailand’s Financial
formulating the structure and scope of responsibilities of sub-committees and steering groups, the Board employs a check and balance system and corporate governance principles to prevent conflicts of interest
forthcoming liberalization within five years. Message from the Secretary-General 4 not only empowered businesses but also furthered the moves toward the SEC's much anticipated self- regulation. On social