distribution for investors and issuers respectively. The framework enables fund managers operating in a member jurisdiction to offer a CIS constituted and authorised in that jurisdiction to retail investors
) default of one member which may cause the highest loss; (2) default of two members which may cause the highest loss where the derivatives clearing house provides services relating to more complex risk
member jurisdictions, which emphasizes the independence from the accounting profession of regulatory body. The Principle was aimed at providing a guideline for IOSCO members to implement their supervisory
with member securities companies, investors or stakeholders and such rules and regulations must be approved by the SEC Board. In addition, the composition of the SET Board of Directors and appointment
related persons: Member, the related transaction is related to asset or service that is larger than 20 million baht or 3% of NTA (whichever is higher). The transaction is transaction is considered to be
Content Capital Market Supervisory Board Ms . Jantima Phienveja Board Member, Capital Market Supervisory Board Education Master of Laws (LLM
Bachelor in Engineering, Chulalongkorn University Current Positions Dean, NIDA Business School, National Institute of Development Administration (NIDA) Board Member of Monitoring and Evaluation of the
regulator of the recognized ACMF member will be exempted knowledge test on products and rules and regulations in the host country and subject to the specified scope of supervision, such as performance of
according to the advice of a member of the group of persons, and shared benefits from the trading incentives with such member. Such acts caused damage to several investors. In this regard, SEC has filed a
engagement levels. Thus, the quality of SEC?s auditor supervision has been internationally recognized, as evidenced by IFIAR?s acceptance as a member in 2010. In addition, the European Union?s endorsement in