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
Dr. Chaiwat Wibulswasdi, Chairman, Capital Market Development Fund, revealed that the CMDF board has approved in principle by supporting the Thai Capital Market’s digital infrastructure under the
The Securities and Exchange Commission (SEC), represented by Ms. Winita Kultangwatana, Director of the Sustainable Development Department, joined a panel discussion on "Communicating Greater
://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
development of products to meet with customers’ expectations. However, under the current situation, and without a clear signal from the Government with regards to the easing of the restriction period, the
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