possible limit of individual freedom, regulation is essential to uphold market credibility and orderliness. Yet, the regulator’s exercising of power must be prudent, fair and only as necessary to protect the
firm – a. Undertakes only those engagements that the firm can reasonably expect to be completed with professional competence b. Appropriately considers the risks associated with providing professional
. (Available in Thai only). (2) Financial Advisor A Financial Advisor is a professional approved by the Securities and Exchange Commission to render financial advisory services, give opinions, prepare
possible limit of individual freedom, regulation is essential to uphold market credibility and orderliness. Yet, the regulator’s exercising of power must be prudent, fair and only as necessary to protect the
UNOFFICIAL TRANSLATION Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. Notification of the Capital Market
different from those mandatory targets prescribed by the FAP (12 hours/year, and at least 6 hours relate to accounting subject)? If yes, explain how and why. 8 How does the firm obtain, compile and monitor
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
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
notified him of inappropriate submissions of trading orders for UNIQ shares, he neither promptly improved the trading submission surveillance system nor applied more stringent monitor on the clients? trading
monitor the effectiveness. However, there is still room for improvement for Thai listed companies. For instance, there should be a system to review and monitor how the corporate strategies are implemented