business thoroughly, causing incomplete disclosure in the filing concerning risk factors, conflict of interests, and trade mark.Akekajak?s actions were considered as failure to comply with the SEC Office
เครื่องมือให้ข้อมูลแก่ผู้ลงทุน (SEC Check Tools) อาทิ SEC Check First, SEC Fund Check, และ SEC Bond Check รวมทั้งผลงานด้านการส่งเสริมและกำกับดูแลด้านไซเบอร์ในภาคตลาดทุน (Cyber Risk Supervision in Capital
เกณฑ์เกี่ยวกับการเปิดเผยข้อมูลความเสี่ยงเกี่ยวกับการซื้อขายสัญญาซื้อขายล่วงหน้าซึ่งกำหนดให้ลูกค้าต้องลงนามรับทราบ ความเสี่ยงด้วยข้อความ (risk disclosure statement) ตามรายการและสาระสำคัญที่กำหนด ไม่
governing provident fund investment in line with international standards for more clarity and investment opportunity for provident fund without compromising risk management of funds and members. Management
starting from relatively low risk securities to products that are more complicated. This allows investors and business operators time to test the water, sharpen their skills and make adjustments in
indicated impressive improvement in terms of audit manuals and audit programs for most of the audit firms. Nonetheless, more emphasis on some areas is needed, such as planning and risk assessment as well as
of the accounts. The requirements aim to better reflect actual financial status and debt repayment capability of every client thereby enhancing securities companies? risk management and thus preserve
decision, for example, maturity date, type of fund, investment policy, risk factors and performance. For advertisement on group of mutual funds where it is not practical to provide all significant
directly relevant to its core business, for example, preparation of research report, risk management or mutual fund and private fund management which must be in compliance with specified conditions. For
comprises Strategy and Planning Department, Research Department, Market Supervision Department, International Relations Center and Enterprise Risk Management Center. Assistant Secretary-General Duangmon