role on investor?s investment decision. Accordingly, the SEC supports the commercial banks to emphasis on their service quality and staff training on financial planning to become a key service provider
Group has THB 9.64 million other income in 2018, reduced from THB 11.42 million in 2017. Main factor was decreasing yield from reducing S-T investment principal. Cost of Sales and Gross Profit Unit : THB
. Administrative expenses were Baht 68.49 million, increased Baht 7.18 million or 11.71 % from the same period of last year. This is result from increasing in normally administration such as increasing in staff cost
opinion by an auditor approved by the Office, and such auditor must not be a director, staff member or employee of such securities company. The auditor of the private fund must adhere to the code of conduct
/securities-ITchecklist.xlsx QAQR-03.xlsx Relationships: Are there any business relationships between the firm, principals or staff or their family members and the audit client or its affiliates? e.g. joint
zone has been also set up to provide a consulting service regarding fund-raising. The staff would help give advice regarding the process and access to the capital market for SMEs and start-up companies
partnership between the SEC and the SET at the policy making level, after which the meetings for management and operating staff levels will be followed. The SEC and the SET are committed to working together
The SEC has found numbers of cases of online fraudulent actions involving the unauthorized use of names, logos, executive or staff images of the SEC, the capital market business operators as well
(IC) ตามลักษณะความซับซ้อนของตราสาร รวมทั้งกำหนดคุณสมบัติของ IC ให้มีความรู้ความเชี่ยวชาญที่สอดคล้องกับประเภทตราสารที่ขายด้วย นอกจากนี้ จะมีการเพิ่มจำนวน IC ที่มีคุณภาพ (experienced staff) เข้าสู่ระบบ