Training Program for Securities Regulators
Thai Securities & Exchange Commission
Stock Exchange of Thailand May 25-26, 2000
Thursday, May 25
Thai Securities & Exchange Commission Representative
Stephen Wallenstein - Duke University Global Capital Markets Center
1. Systems and Basic Principles of U.S. Securities Laws and Regulations Professor Robert Hillman - University of California, Davis, School of Law
2. Corporate Governance and Fiduciary Duties ( Including Comparative Experiences) Professor James Cox - Duke University, School of Law 3. Fraud and Signs of Fraud: Lessons from Recent U.S. Experience / Civil and Criminal Penalties Kam Lee - U.S. Securities & Exchange Commission
4. Accounting and Reporting Trends - IAS / GAPP Unakorn Phruithithada - PricewaterhouseCoopers
Friday, May 26
8. Cross-Border Listings Including NASDAQ Stephen Wallenstein - Duke University Global Capital Markets Center
Each presentation was followed by an informal question and answer session.
The audience in Thailand was approximately 110 regulators, policy makers, and enforcement representatives from the Thai SEC, along with participation of the Stock Exchange heads.