and financial planning services to be of high quality and conveniently accessible for the public. This is to allow better access to investment services and lower costs for investment advice providers;(2

support is timely as the AARG seeks to speak with a unified voice to promote a high quality audit regime applied consistently across ASEAN.?Mr. Jarett Decker, Head of World Bank?s Centre for Financial

grouping, the AARG will work closely together with the audit firms to achieve this target.?Ms Nidaporn Assawateerakiat, Director of the Accounting Supervision Department, SEC (Thailand) said ?High quality

years, the SET has placed high priority on promoting investor education and investment in mutual funds through a number of projects and activities, especially the well-known ?Let Your Money Work through

enforce the application of high quality accounting and auditing standards. As the SEC has direct responsibility over a supervision of the auditors of securities issuers and entities under the SEC

considerably higher trading commissions from frequent submission of orders and high volumes during the marketing campaign launched by Country Group Securities. For {C}, she was assigned to take care of this

คุ้มครองผู้ลงทุนประเภทต่าง ๆ ในระดับที่เหมาะสมอย่างไรก็ดี จากการประเมินสภาพปัจจุบันแล้วพบว่า ภาคธุรกิจได้มีการออกตั๋วเงินอย่างแพร่หลายโดยเฉพาะอย่างยิ่งมีการเสนอขายต่อผู้ลงทุนรายใหญ่ (high net worth) เป็น

activities through such client accounts. Particularly, {A} was found to have made a high volume of trades. {C} had also made such continued misconduct and gained a large amount of profit from commission fees

securities, in fact almost every day, resulting in a high trading volume. {C} admitted that the client permitted him to make trading decision without the client's confirmation or with post-trading confirmation

account where trading had been made in relatively high frequency and volume without any record of client's trade order for three months from the opening of the account to the investigation date. In this