conclusion, I wish to express my sincere appreciation to the SEC management and staff who have put in tremendous efforts over the years. I am confident that with everyone’s continued support and commitment
efforts in strengthening corporate governance in the industry. In the year ahead, countless different challenges are bound to arise and test our strengths, but I believe the SEC management and staff will
choose the persons to operate a business on their behalf in a more flexible manner, whereby the business operators will be able to delegate other persons in respect of work related to the business
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
arbitration procedure between investors and market intermediaries, the introduction of regulations that requires all staff of market intermediaries who are in touch with investors to possess professional
Thai capital market today results from the cooperation and support of all market participants including staff of the SEC. In this connection, on behalf of SEC commissioners, I would like to express my
legislation. Rather, they seek to identify objectives and suggest various means for achieving them. The Principles aim to provide a robust but flexible reference for policy makers and market participants to
prevention and handling of conflicts of interest; (2) adequate measures to prevent directors, executives, sub-committee members, advisors, staff members, employees, or persons who work for securities clearing
programs to raise awareness regarding corporate governance and other areas in each of Thailand’s regions. It has 20 staff focused primarily on public companies. Beyond awareness raising, registration and
arbitral proceeding other than those prescribed herein shall be in compliance with the provisions of the Arbitration Act. Clause 5. In the arbitral process, the Office shall assign its staff to perform