|
Securities Brokerage Regulation: The Effectiveness of Regulation Implementation |
|---|---|
| รหัสดีโอไอ | |
| Creator | Sid Suntrayuth |
| Title | Securities Brokerage Regulation: The Effectiveness of Regulation Implementation |
| Publisher | School of Development Economic |
| Publication Year | 2557 |
| Journal Title | Development Economic Review |
| Journal Vol. | 8 |
| Journal No. | 2 |
| Page no. | 135 |
| Keyword | Securities Brokerage Regulation, Securities and Exchange Commission (SEC), the Effectiveness of Regulation Implementation |
| ISSN | 1906-2540 |
| Abstract | The objectives of this paper were to investigate the effectiveness of securities brokerage regulation implementation and to examine the variables that have a relationship with the effectiveness of securities brokerage regulation implementation by Thailand Securities and Exchange Commission (SEC). The variables were broken down into two tiers, the results from empirical analysis found communication to have the highest relationship and also the predicting variable for the effectiveness of securities brokerage regulation implementation within the first tier. In the second tier, willingness to comply was found to have the highest relationship and was also considered to be a predicting variable in the effectiveness of securities brokerage regulation implementation. The result of the analysis points out the significance of the communication process of the supervisory agency. Moreover, the attention towards the target group should not be paid with less significance than that of the supervisory agency. The effectiveness of regulation implementation requires the effort of both the supervisory agency and the target group. |
