. Accordingly, compliance unit must be strengthened to have clear role, duty and standards of conduct and thus help building up compliance culture to ensure that business operator complies with laws and

convenient, (3) review details of commitment between unitholders and asset management company to be more complete and (4) revise form and content of prospectus to ensure comprehensible and adequate disclosure

used to invest, based on market price, at least every business. This is to ensure that securities company or derivatives broker will be able to return client?s assets in full after withdrawing deposit or

control unit having duty to monitor internal control system to ensure check and balance mechanism and prevent fraud and embezzlement and (3) investor relations unit having duty to enable effective two- way

public offering (IPO) companies. The purpose is to ensure that CFOs and accountants clearly understand the expected roles and responsibilities in preparing financial reports and internal control system

Bangkok, 30 November 2016 ? The SEC is seeking public comments on the draft amendments concerning mutual fund product governance to ensure that intermediaries? business practice focuses primarily on

work for audit firms having quality assurance system in compliance with professional standards, the SEC regularly inspects the firm?s audit quality to uphold market fairness, ensure proper investor

to harmonize all regulations on foreign companies? share offerings and ensure that Thai investors have protection comparable to that under Thai law. In this regard, the foreign companies are required

among their business units or sufficient check and balance systems must be in place. This is to ensure that REIT trustee will perform duty for the utmost benefits of REITs and REIT unitholders. In this

case with hedge funds. Meanwhile, the investor qualifications would also be revised to ensure that only accredited investors with matching risk profiles would be eligible to invest in higher risk mutual