believes that this Statement of Intent will aid the public and all capital market stakeholders to understand the SEC’s role and operations, and promote confident participants of the capital market. 2. Vision
who are in Contact with Investors ● Mutual Fund Management Business ● Revision of Rules on Securities Underwriting ● Law Enforcement 52 GOAL 4 Preserve Market Fairness and Transparency, Understand
Annual Report 2004 S h a p i n g t h e T h ai C a p i t a l M a r k e t A n n u a l R e p o r t 2 0 0 4 S E C U R I T I E S A N D E X C H A N G E C O M M I S S I O N , T H A I L A N D This year’s annual report features Benjarong ceramics. Benjarong, meaning five colours, gained popularity in the royal court and the high society of Siam in the late Ayudhya period (A.D. 1350 - 1767). But it was during the early Rattanakosin period (A.D. 1782 - present), in the reigns of King Rama II and King Rama...
Principles are supplemented by annotations that contain commentary on the Principles and are intended to help readers understand their rationale. The annotations may also contain descriptions of dominant or
understand the benefits of and need for effective disclosure practices. To promote free and vigorous investigation and responsible reporting by news organisations, local defamation and libel laws should be
Preserve Market Fairness and Transparency, Understand Industry, and be a Firm and Fair Regulator [ MESSAGE FROM THE CHAIRMAN ] (Mr. Somk id Ja tus r ip i t ak ) Cha i rman [ Message from the Chairman ]4
provision of services as a securities clearing house or central securities depository to the extent that members or their clients, or any involved persons understand risks from use of the services, and shall
choose a default investment plan for members, for example, a life path-oriented plan that would adjust members? investment portfolios automatically and appropriately as they approach the retirement age
ทอ้นถึง exposure สูงสุดที1อาจเกิดขึนได ้ (4) การคาํนวณ commitment approach ซึ1 งสามารถให ้netting ระหวา่ง derivative หรือ asset ที1เป็น underlying เดียวกนันัน ควรใหส้ามารถ https://capital.sec.or.th
of the Attorney General (OAG) for criminal prosecution. In enforcing the law using the above channels, the SEC takes the due process approach based on legal principles and available evidence while