take precaution to ensure that only the SEC approved investment consultants are allowed to give advice to the investors. Their compliance with the relevant rules must also be completely fulfilled; for

scores need to press on improvement of their quality to ensure fair treatment to shareholders and thus enhance investor confidence as well as promote sustainable growth of the industry in the long run.??

further ensure that management of investment money would be for the best interest of investors by introducing an oversight mechanism, either for independent body or person, to undertake the supervisory role

solicitor to ensure proper legal protection, regardless of how tempting the offer seems. List of licensees is available at the SEC?s website (www.sec.or.th) while list of those not licensed by the SEC can be

with the SET?s and TFEX?s executives to review the incident in details and estimate the impact and seek the solution to ensure no repetition of such incident in the future. Moreover,  the issue of

offering of ASEAN CIS. The common standards are designed to ensure that the fund managers who tap on the Framework have the necessary expertise and experience, and schemes offered under the Framework are

could step into the secondary market for buying or selling when needed. Presently, 14 dealers have signed Memorandum of Understanding (MoU) with ThaiBMA to ensure their services while the others are

the auditor without the presence of the management at least once a year. - Review the connecting transactions or transactions that may have conflicts of interest to ensure that they are accurate

. Clause 3. In order to ensure that representatives shall render services with honesty and due care for the best interest of investors as well as provide appropriate and adequate information in line with

office. Clause 3. In order to ensure that representatives shall render services with honesty and due care for the best interest of investors as well as provide appropriate and adequate information in line