consultations to visitors and advice on investment fraud prevention, and shared guidance on how to use the SEC Hotline 1207, extension 22, for reporting suspicious activities regarding investment scams. The

), which was created by CFA Institute. The GIPS Standards include ethical principles that provide investment firms with guidance on calculation and reporting their investment results to prospective clients

suggestions on the matter are welcome until December 20, 2012Advertisement content and format must contain essential, complete and correct information without suitable guidance or any guarantees of return on

sale and redemption of Tokenized Fund units*, with the aim of providing clear and appropriate operational guidance for mutual funds issuing units in such form. The amended regulations have been

://publish.sec.or.th/nrs/6564p.doc monitoring.doc Audit Firm Name: Subject : Monitoring Prepared by Date Particulars Reference /Guidance Notes Description A Monitoring the Firm’s Quality Control Policies and Procedures

companies’ capacities by putting the WEPs – which offer guidance on how to promote gender equality in the workplace, marketplace and community – into practice.Jomkwan Kongsakul, SEC Deputy Secretary

นางพรอนงค์ บุษราตระกูล เลขาธิการ สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) เข้าร่วมการประชุม Asia Green Transformation (GX) Consortium และ Asia High-level Financial Regulators

Mrs. Pornanong Budsaratragoon, Secretary-General of the Securities and Exchange Commission (SEC), attended the Asia Green Transformation (GX) Consortium and the Asia High-level Financial Regulators

- Guidance (sec.or.th)  

conjunction with the implementation of the Framework, a handbook has been issued which provides guidance on the various administrative and procedural matters, including the criteria for issuers to come under