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
information and documents, as detailed in Chapter 11; (11) additional regulations for operation of specific business, as detailed in Chapter 12. 3 Part 4 The SEC Office’s Power Clause 5 In order for this
supervision is to prevent market manipulation. All parties mutually agree to adopt the pre-emptive move concept and preventive measures should be specific and avoid confusing information. By doing so, the SEC
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
power to appoint an audit committee, ad hoc sub-committees to perform specific assignments, and sub-committees to consider and give advice on the issuance of rules and regulations. The Board also has the
-committees to perform specific assignments, and sub-committees to consider and give advice on the issuance of rules and regulations. The Board also has the power to appoint steering groups in support of the
Annual Report 2001 A N N U A L R E P O R T 2 0 0 1 S E C U R IT IE S A N D E X C H A N G E C O M M IS S IO N & O F F IC E O F T H E S E C U R IT IE S A N D E X C H A N G E C O M M IS S IO N , T H A IL A N D SECURITIES AND EXCHANGE COMMISSION, THAILAND OFFICE OF THE SECURITIES AND EXCHANGE COMMISSION, THAILAND ANNUAL REPORT 2001 SECURITIES AND EXCHANGE COMMISSION, THAILAND OFFICE OF THE SECURITIES AND EXCHANGE COMMISSION, THAILAND 10th and 13th-16th Fl. Diethelm Towers B, 93/1 Wireless Road, Lump...
governance framework and develop more detailed mandatory or voluntary provisions that can take into account country-specific economic, legal, and cultural differences. The Principles focus on publicly traded
. Personal Data of Minors The SEC Office does not have any specific intention or responsibility to process the personal data of minors. However, if it is necessary for the operation of the SEC Office, the SEC
recommendations to improve corporate governance. Based on the OECD Principles of Corporate Governance, the White Paper adapted implementation aspects to the specific conditions of Asia. The White Paper assessed