One Report ESG Issues AGM FAQ Capital market professionals/gatekeeper CSR Whistleblower Audit committee About us Overview Detail Content SEC Roles C oncept “Supervision” is the core
■ Revision of the Regulations Governing Provident Fund Management to Promote Transparency and Fairness Among Members ■ Promotion of Long-term Savings ■ Issuance of Non-Voting Depositary Receipt : NVDR
Governance ● Revision of Rules on Approval for Public Offering of Shares and Information Disclosure by Focusing on Good Corporate Governance CONTENTS APPEN SCE_Eng_p.1-16 10/29/04, 1:05 AM2 3 ● Supervision of
variety of financial tools, flexibility and competitiveness of securities businesses, safeguards market stability, ensures securities trading fairness, and facilitates easy access to information. The SEC
. Duangjai Dhanasthitya Director Broker-Dealer Supervision Department Mrs. Paralee Sukonthaman Director Corporate Affairs Department Mrs. Nataya Niyamanusorn Director Corporate Finance Department Mr. Prakid
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
on the internal control system in key operating areas to assure that objectives in supervision is met with efficiency, effectiveness, transparency and fairness. Moreover, there are measures in
decision on appropriate forms of alliance with foreign counterparts to support future trading linkage;2. Supervision of Securities Business: Licensing provisions would be amended to grant the Securities and
/pb_ar_2004.pdf Annual Report 2003 Other Related Entities in order to Ensure Confidence of the Investing Public ● Supervision of Market Intermediaries - Securities Companies - Asset Management Companies