. The process of determining whether a person has committed a legal offense involves the investigative powers of the inquiry officer, the decision to prosecute by public prosecutors, and ultimately the
objectives of securities regulation in compliance with international standards. In addition, the SEC may disclose confidential information acquired by powers and duties performed under the Securities and
ตั้งขึ้นเฉพาะกิจ เชน กองทุนเพื่อแกไขปญหาในระบบสถาบันการเงิน เปนตน 2 Principle 8 states that the regulator should have comprehensive inspection, investigation and surveillance powers. Principle 9
responsibilities and powers, and adequate funding that is not under the control of the auditing profession, to carry out those responsibilities. Reference : https://www.iosco.org/library/pubdocs/pdf/IOSCOPD134.pdf 3
Register of Members Investment Limit Investment Powers Conflict of Interest Unitization Borrowing from fund asset Report/Financial Statement Auditors Procedure for the default by Issuer Registrar