management of the mutual fund may cause damage or unfair treatment to the investors. (5) The operation of the mutual fund is inconsistent with the approved scheme. In this connection, the SEC has the power
matter that may have significant impacts on the mutual fund's benefits; 3. Establish an operation system for auditing on exercising of voting rights; 4. Disclose to investors through an appropriate
regulation of audit inspection – has accepted the SEC to be its member. The SEC is also a member of ASEAN Audit Regulator (AARG) established under the co-operation of its members, i.e., Singapore, Malaysia
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related to day-to-day operation, for instance, business judgment, issues relating to staff or internal operation; ● Complaints under the process of the court’s consideration or cases having reached final
an electronic transaction and applying FinTech to business operation are still a challenge in Thailand mostly because the governing laws are inconsistent with the ever-advancing technologies and do not
managing potential risks from service provision; (c) having a work procedure and an internal control system with details covering the operation as specified in Clause 4. In this regard, the applicant for a
potential risks from service provision; (c) having a work procedure and an internal control system with details covering the operation as specified in Clause 4. In this regard, the applicant for a license
Governance As an agency with missions for promoting, developing and supervising the capital market, the SEC strives to ensure transparency and credibility of our own operation as well as fairness to all