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
economies and emerging economies. To maintain that leadership, Thailand must ensure the effectiveness of the Thai Securities and Exchange Commission (SEC) and Bank of Thailand (BOT) and address raising the
includes self-assessment under the standards of IOSCO (International Organization of Securities Commissions) to ensure that the Thai capital market supervision is in line with international standards