Some business operators wish to provide services of specific securities business, for example, brokerage,  dealing and underwriting of equity instruments or private fund management, but are unable to

investment. The SEC thus encourages capital market business personnel, especially investment consultants, investment analysts and personnel who provide services of making decisions on investment for investors

establish witness protection measures which can be granted during the stage of SEC’s investigation. The measures will provide SEC another prospect to obtain credible information and evidence that will

draft guidelines would provide examples of e-KYC in accordance to the principles as notified. However, business operators can also use other methods, provided that they have the same quality and

presentation of auditor?s concerns with key risk factors and risk handling methods clearly identified.? The New Auditor?s Report Educational Project aims to provide knowledge and usage guide to the new auditor?s

provide investors with more variety of investment alternatives and increase experiences in overseas investment while the service provider is required to comply with rules and practices prescribed by the

to the resolution of the shareholders? meeting (whitewash) to be in line with the principles of other related regulations as well as to solve practical issues and provide sufficient information for

 Bangkok, May 14, 2014 ? The SEC allows broader investment in foreign investment products and permits more business operators to provide services in foreign currency denominated securities. SEC

issuers.Moreover, considering the potential of banks and their subsidiaries to provide selling agent services for ASEAN CIS, the SEC has coordinated with the Bank of Thailand to allow the banks licensed to undertake

does not provide such investment policy, investment or seek of benefits must be made under investment policy stated in the fund?s article. If, however, there is no investment policy stated in the fund?s