A key strategy of SEC is to urge Thai people to realize the importance of financial planning which should be practical to achieve the long-term financial well-being. For this purpose, Thai people
renowned international audit firms are invited to share their views and experience concerning current regulatory and oversight issues, challenges and impediments as well as directions of international
collaborating with all stakeholders. The SEC strives to enhance the benefits and well-being of people through being a trustworthy and proactive organization, improving the Thai capital market to become an
keeping system of such assets, and internal control system to prevent the misuse of client’s assets; □ (3.2) System for preventing damages to client’s assets, as well as related information and documents
client’s assets, as well □ 1. □ (1) □ (2) □ 2. □ (1) □ (2) □ 3. □ (1) □ (2) □ (3) □ (3.1) □ (3.2) (Translation) Particulars For the SEC Officer as related information and documents and controlling system for
from a person being neither account owner nor account owner's appointee. In addition, he had provided a client's trading information to another client, as well as frequently failed to keep records of his
investment for the client , the intermediary shall provide a system for controlling the client ’s assets to prevent being lost, damaged and unlawful exploitation; (10) having compliance system in accordance
the website of the SEC Office: (a) certifying that such audit firm has a audit quality control system under Clause 11(1) and giving consent for an inspection by a representative of the SEC Office; (b
determine the currency conversion, as well as the basis for that determination. 7. Where not all of the debt securities being offered are guaranteed, provide a statement for a non-guaranteed portion. B
ลาศโอฬาร (ต้ังแต่ 16 พ.ค. 62) นายณพัฒน์ ศรีวรพงษ์พันธ์ (ต้ังแต่ 1 ก.พ. 65) กองทุนเปิด ทิสโก้ หุ้นไทย Well-being TISCO Thai Well-being Equity Fund ชนิดผู้ลงทุนท่ัวไป TISCOWB-A A หนังสือชี้ชวนส่วนสรุปข้อ