Entities in order to Ensure Confidence of the Investing Public ■ Supervision of Market Intermediaries ■ Inspection of Listed Companies and Market Intermediaries ■ Regulation and Law Enforcement G OA L 4
raising activities both in equity and debt securities including the details of the fund mobilizers by industry, companies and individual instruments.SEC has been continuously developing the open data
principle of widespread distribution to general subscribers without specific allocation to any particular individual (cherry picking), and must not be an arbitrage in evasion of regulatory compliance
-related funds, the maximum tax-deductible amount is capped at 500,000 baht. Individual taxpayers are not required to make contributions every year. Moreover, SSF provides policies allowing the investors
investment scheme), the SEC has regulated individual auditors and monitored individual auditors? work since 1993 https://www.sec.or.th/TH/Pages/News_Detail.aspx?SECID=5975 ASEAN audit regulators and audit
and collective investment scheme), the SEC has regulated individual auditors and monitored individual auditors? work since 1993 https://www.sec.or.th/TH/Pages/News_Detail.aspx?SECID=5975 ASEAN audit
investment scheme), the SEC has regulated individual auditors and monitored individual auditors? work since 1993 https://www.sec.or.th/TH/Pages/News_Detail.aspx?SECID=5975 ASEAN audit regulators and audit
Confidential information CRAs should maintain in confidence all non-public information communicated to them by any issuer, or its agents, under the terms of a confidentiality agreement or otherwise under a
share- holders (through what is known as 'tunnelling' 3 ), or misrepresenting an individual company's financial statements (of particular concern where the company is under pressure to meet expectations
, to create confidence among shareholders over the long term. All these endeavors have been undertaken with consideration of a new regulatory landscape, changing economic circumstances and risk trends to