. Sou Socheat, Director General of the Securities and Exchange Regulator of Cambodia (SERC), and Mr. Siosavath Thirakul, Deputy Secretary General of the Laos Securities Commission Office (LSCO), gave
case of foreign company Offer of ESOP must be approved by home regulator which is a member of International Organization of Securities Commissions (IOSCO) and Signatory A of IOSCO MMOU concerning
Stock Exchange of Thailand (SET). In case where irregular trading is found, the SET as a front-line regulator will refer the case to the SEC for further investigation. At present, a number of cases
the industry. Apart from being internationally recognized by the European Union, the International Forum of Independent Audit Regulator, and ASEAN Audit Regulators Group, corporate governance assessment
overview of fund mobilization and capital market mechanism for business enterprise and the public. Vorapol Socatiyanurak, SEC Secretary-General said that as a capital market regulator, the SEC has compiled
and may engage in the affiliated transaction for the fund only when an approval is granted by the mutual fund supervisor for the case specified in Clause 14, the conditions specified in Clause 15 are
company shall act in the interests of the fund and may engage in the affiliated transaction for the fund only when an approval is granted by the mutual fund supervisor for the case specified in Clause 14
, International Organization of Securities Commissions (IOSCO) and securities regulators in ASEAN countries. In addition, the SEC joined as member of International Forum of Independent Audit Regulator (IFIAR), an
. Any custodian who has been registered as a person qualified to be a mutual fund supervisor and has been approved by the Office for custodian agent appointing system for a mutual fund, such custodian