prosecution shall be extinguished. ?The new amendments have been considered by relevant parties in many sectors to ensure that the provisions are appropriate and applicable to the increasingly complicated

conducts, the SEC requires that intermediaries have operational procedure to ensure that investors are qualified as accredited investors as specified in the regulations. AI must have good understanding about

procedures to ensure that investment consultants regularly distribute investment research to investors. Lack of investment research on small and medium market capitalization listed companies was concerned by

Programme (A-MDP) to ensure all ACMF members benefit from regional capital market connectivity. Following the successful first phase of implementing the regulatory programme in developing domestic bond

advised to exercise discretion in making mutual fund purchases and should request purchase evidence at the point of sale, which must be generated by proper system to ensure completion of their purchase

trading orders through email, investor contact should confirm such orders by taping phone conversation to ensure that the client has actually ordered to trade securities for record keeping."  

investment discipline among working-age population by conveniently investing at least 1,000 baht a month to ensure that the savings last through their retirement years.   The Project aims at promoting Thai

to ensure compliance of its business conduct with ethical and professional standards of the industry. ?Securities firms are doing business based upon clients? trust and confidence. Any breach of

Exchange Act B.E. 2535 (1992) with the duty to supervise and develop the Thai capital market to ensure efficiency, fairness, transparency and integrity. One of the SEC?s responsibilities is to monitor and

loans provided by clients, as well as, failing to discharge the duty properly as a manager in supervising and examining the staff's conduct to ensure the compliance with laws and regulations, in violation