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
SEC plans to revise the criteria on the maintenance of the net capital (NC) of securities and derivatives business operator. SEC has, therefore, conducted a public hearing on this matter, in
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
shareholder meeting in key company decisions. The chapter also deals with disclosure of control structures, such as different voting rights. New issues in this chapter include the use of information technology
(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
financial situation, ownership and governance of the company. (ii) Regulators and companies should continue to use the opportunites created by new technologies to enhance the fairness and efficiency of the
Consultation and Cooperation and the Exchange of Information (IOSCO MMoU) to enhance effectiveness of cross-border enforcement; ë To continue the endeavors toward mutual recognition and harmonization of
Important Tool for Risk Management ■ Development of Debt Instrument Market ■ Amendment to the Public Limited Company Act B.E. 2535 (1992) to Help with the Capital Structure of Listed Companies ■ The Use of
are the subject of rumours. We also sought cooperation from popular stock chat websites to be careful in their posting of company news that has not yet been confirmed or denied. The most accentuated