, regular review of documents received from the intermediaries could help to spot any possible irregularities early. In case of any suspicious incident, investors should contact the compliance unit so that

Bangkok, July 8, 2016 ? The SEC Independent Audit Inspection Activities Reports for the second-cycle period during 2013-2015 have shown significant progress in the quality control system of audit

Bangkok, May 27, 2014 ? The SEC revealed audit inspection results on eight audit firms; citing all of them met quality requirements. The result, however, showed room for improvement in the area of

organized under the MoU with four leading business schools aiming to provide a platform for capital market research presentation and implementation in developing the capital market. The Faculty of Commerce

years. Such success has been made possible by the continuing collaboration of all parties involved. In addition, the SEC has worked with the SET and the IOD to produce the CG Handbook, which contains

making an investment in a mutual fund. The SEC studies on behavioral finance have revealed that investors tend to take many other factors into consideration as well when making a decision to invest in a

that can potentially be offered in all three jurisdictions, which is currently not possible. In addition, the Signatories are also committed to reviewing applications made under the Framework in

usefulness in the nature as being a property of IEC, and acting in order to obtain unlawful gains for himself or another person. The court sentenced him a 4 years and 12 months imprisonment and a total fine of

. Clause 6. Prior to agreeing to provide selling agent service for units of foreign collective investment scheme, securities company shall arrange to have agreement in writing with person responsible for

dated 4 June 2009, the SEC Office hereby issues the following regulations: Clause 1 In this Notification: (1) “executive” means a manager or an authorized management person; (2) “manager” means a person